Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

About

Provided by Cadwalader, Wickersham & Taft LLP

We have broad expertise in statutory and regulatory requirements, including those governing broker-dealers, exchanges, banks, investment advisers and funds. Our team:

• advises clients on OTC derivatives, structured products, hedge fund derivatives and hybrid transactions; 
• structures and develops investment products, funds, funds of funds; commodity pools; acquisition, venture capital, real estate and structured product funds; and investment advisers and management firms; 
• counsels clients on issues affecting ERISA, executive compensation and benefits.