Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2023 : USA - Nationwide
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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.