About

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.

Chambers Review

Provided by Chambers

Financial Services Regulation: Financial Institutions M&A - USA - Nationwide

3
Band 3

What the Team is Known For

Dechert LLP is noted for its breadth of work in the financial institutions M&A sector. The team capably advises clients on a range of issues arising from transactions, including for private equity companies and major financial institutions.

Work Highlights

  • Dechert advised Mount Logan Capital on its merger with 180 Degree Capital Corp in an all-stock transaction.

Strengths

Provided by Chambers

Notable Practitioners

Provided by Chambers

Ken Young
3
Ken Young
3
Band 3

Ken Young offers insightful guidance on an array of M&A matters, including for global clients and on all-stock transactions. He is also cochair of the firm's corporate and securities practice, and co-head of the private equity group.

Ken is amazing to work with.

Ken is a superbly practical, business lawyer.

Ken keeps the ship pointed in the right direction and solves important problems when they arise in a negotiation.

Ranked Lawyers at
Dechert LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

Financial Services Regulation: Financial Institutions M&A

Ken Young
3
Ken Young
3
Band 3

Members

Provided by Dechert LLP