FINANCIAL SERVICES

 

OVERVIEW

At Practus LLP, our Financial Services practice is at the forefront of legal innovation in a rapidly evolving economic landscape. We serve broker-dealers, investment management firms, and financial institutions with a full spectrum of legal services that address today’s complex regulatory environment. Our team’s deep industry knowledge is complemented by our state-of-the-art ETF group—a leader in legal counsel for exchange-traded funds that ensures your ETF strategies are compliant and ahead of market trends. By combining practical legal expertise with strategic insight, we help our clients manage risk, drive growth, and navigate financial complexities with confidence.

WHY CHOOSE PRACTUS LLP FOR YOUR FINANCIAL SERVICES NEEDS?

At Practus LLP, we understand that the financial services sector demands a legal partner who not only comprehends the complexities of the market but also anticipates regulatory shifts. Our multidisciplinary team is committed to providing personalized, forward-thinking legal solutions that protect your interests and foster sustainable growth. By combining our expertise in traditional financial services with specialized capabilities like our ETF group, we empower you to navigate uncertainty and capitalize on new opportunities.

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FINANCIAL SERVICES NEWS

May 08, 2025

Attorney Spotlights from the Practus Trail: Insight, Innovation, and Independence

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May 01, 2025

7 Years of Blazing the Trail as a Modern Law Firm 

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Apr 22, 2025

Robert Moreiro’s Warning to Investment Advisors Using Wrap Fee Programs: Review Your Disclosures 

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OUR FINANCIAL SERVICES INCLUDE:

 

Broker-Dealers

Our attorneys provide tailored legal support for broker-dealer operations, addressing regulatory challenges and ensuring that your business meets all compliance requirements. We help structure operations that are agile and robust in a dynamic financial market.

 

Investment Management & Advisory Services

For firms managing significant assets, our legal counsel covers fiduciary duties, compliance matters, and operational best practices. We work closely with investment managers to develop strategies that optimize performance and mitigate risks.

 

Mergers & Acquisitions (M&A)

Financial transactions often involve intricate negotiations and significant regulatory oversight. Our M&A team provides strategic counsel throughout the deal process—from due diligence to contract negotiation—ensuring that every transaction enhances your financial position.

 

Securities Enforcement and Regulation

Staying compliant with securities laws is crucial for financial institutions. We offer proactive legal strategies that address enforcement actions, regulatory investigations, and compliance audits, protecting your reputation and business interests.

 

Tax Law

Effective tax strategy is a cornerstone of financial success. Our team delivers in-depth expertise on tax planning, regulatory compliance, and structuring transactions in a tax-efficient manner, tailored to the needs of financial institutions.

 

Trusts & Estates

We provide comprehensive estate planning and trust administration services that protect and manage financial assets for both individuals and institutions. Our attorneys design customized plans that ensure asset preservation and a smooth transition of wealth.

 

Exchange-Traded Funds (ETF)

A distinctive element of our Financial Services practice is our nationally recognized ETF group. Our experts specialize in the legal and regulatory aspects of exchange-traded funds, offering innovative counsel on fund structuring, compliance, and litigation support. This service is designed to help you leverage ETFs as a dynamic investment vehicle while staying ahead of industry changes.

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LET’S WORK TOGETHER

We take on complex and challenging legal matters with an elite team of attorneys. Get in touch with our Practus Partners and let’s get started in helping you or your organization.

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