FINANCIAL SERVICES

 

The Investment Management attorneys at Practus have extensive experience in the creation and administration 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, by adding attorneys with experience in emerging areas such as next-generation exchange-traded products, Commodity Futures Trading Commission (CFTC) regulation, and derivatives trading.

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, institutional investors, service providers, and public and private funds.

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

 

FINANCIAL SERVICES NEWS

May 16, 2022

Another Reminder of FINRA’s Expectations (Regulatory Notice 22-11)

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May 05, 2022

EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule

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May 04, 2022

SEC Risk Alert Focuses on Deficiencies Concerning Material Non-Public Information

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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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Terence Brennan
Terence Brennan
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Wade Bridge
Wade Bridge
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Steven G. Cravath
Steven G. Cravath
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Brad D’Amico
Brad D’Amico
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Robert Elwood
Robert Elwood
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Robert Fried
Robert Fried
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J. Stephen King, Jr.
J. Stephen King, Jr.
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Bernard Kornberg
Bernard Kornberg
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John H. Lively
John H. Lively
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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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John F. Ramirez
John F. Ramirez
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Andrea J. Shaw
Andrea J. Shaw
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Ryan P. Smith
Ryan P. Smith
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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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