Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

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Provided by Dechert LLP

Wide-ranging legal and regulatory guidance for broker-dealers

Dechert is a leader in providing sophisticated counsel to broker-dealers and national securities exchanges; advising on a range of matters – including regulatory compliance, and regulatory and self-regulatory investigations and examinations – while shaping policy that affects the industry.

Our broker-dealer, securities trading and markets lawyers represent leading full-service broker-dealers, U.S. securities exchanges, equity and fixed income alternative trading systems, banks, investment banking boutiques, institutional-only broker-dealers, and several of the largest U.S. retail broker-dealers and investment advisers. We also assist foreign broker-dealers seeking to do business in the United States and a range of clients seeking to avoid broker-dealer registration.

Integrated practice advising asset management clients

Our broker-dealer, securities trading and markets lawyers are an integral part of our financial services practice, which is one of the largest of any U.S. firm. Dechert represents 9 of the top 10 global asset managers worldwide, and many of their affiliated broker-dealers. In addition to advising on distribution and other sales issues for registered funds, we represent the affiliated placement agents of dozens of private funds. Dechert’s lawyers also work with clients to find solutions for avoiding broker-dealer registration.