FINANCIAL SERVICES

 

The Financial Services attorneys at Practus have extensive experience in the creation, administration and distribution of innovative investment strategies and services.

RESULTS THAT HELP OUR CLIENTS MOVE FORWARD

As the investment management industry and our clients have evolved, so have we.  Practus has attorneys with experience in emerging areas such as next-generation exchange-traded products and derivatives trading, and with the entities that regulate them, including the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

From some of the biggest names in the industry to boutique businesses, the team at Practus advises a range of clients encompassing insurance companies, investment advisers, broker-dealers, institutional investors, service providers, and public and private funds.

Count on our financial services team to help achieve your goals.

FINANCIAL SERVICES NEWS

Oct 21, 2022

FINRA Revises Its Sanctions Guidelines

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Oct 20, 2022

BDs And RIAs Need To Ensure That They Are Complying With Reg S-P

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Oct 04, 2022

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

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OUR EXPERTISE INCLUDES

  • Investment Advisers
  • Derivatives & Commodities
  • Financial Services Tax
  • Regulatory Compliance
  • Ongoing Compliance Services for Investment Advisers and Broker-Dealers
  • Custodians, Administrators, & Transfer Agents
  • IM Litigation & Enforcement Matters
  • Regulatory Exams and Investigations
  • Financial Services M&A
  • Investment Company Status
  • Collective Investment Trusts
  • Broker-Dealers
  • Anti-Money Laundering
  • Independent Investigations
  • Insurance Products
  • Securities Enforcement and Regulation
  • Broker-Dealer Formation, Regulation and Compliance
  • Investment Adviser Formation, Regulation and Compliance
  • Registered & Unregistered Investment Companies, including Mutual Funds, Exchange-Traded Funds, & Closed-End Funds
  • Outsourced Chief Compliance Officer and Anti-Money Laundering Officer Services
  • Independent Director/Trustee Counsel
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FINANCIAL SERVICES ATTORNEYS

 

Karen A. Aspinall
Karen A. Aspinall
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Tina H. Bloom
Tina H. Bloom
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Wade Bridge
Wade Bridge
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Steven G. Cravath
Steven G. Cravath
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Robert Elwood
Robert Elwood
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Robert Fried
Robert Fried
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Chris P. Hayes
Chris P. Hayes
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Raymond Holst
Raymond Holst
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J. Stephen King
J. Stephen King
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Bernard Kornberg
Bernard Kornberg
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Randy Legg
Randy Legg
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John H. Lively
John H. Lively
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Gino Malaspina
Gino Malaspina
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Kirk A. Montgomery
Kirk A. Montgomery
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Robert Moreiro
Robert Moreiro
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Jorge O’Reilly
Jorge O’Reilly
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Richard Pasquier
Richard Pasquier
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Jeffrey C. Rambach
Jeffrey C. Rambach
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John F. Ramirez
John F. Ramirez
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Robert J. Rhatigan
Robert J. Rhatigan
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Andrea J. Shaw
Andrea J. Shaw
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Thomas G. Sheehan
Thomas G. Sheehan
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John C. Swhear
John C. Swhear
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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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