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

May 22, 2023

Yet Another Assortment of . . .

Read More
Apr 30, 2023

More Thoughts, Ideas and uh, Brain Droppings

Read More
Mar 21, 2023

Another Batch of Brain Droppings

Read More
View More News

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
triangle-pattern-right

FINANCIAL SERVICES ATTORNEYS

 

Karen A. Aspinall
Karen A. Aspinall
Read Full Bio
Tina H. Bloom
Tina H. Bloom
Read Full Bio
Terence Brennan
Terence Brennan
Read Full Bio
Wade Bridge
Wade Bridge
Read Full Bio
Steven G. Cravath
Steven G. Cravath
Read Full Bio
Brad D’Amico
Brad D’Amico
Read Full Bio
Robert Elwood
Robert Elwood
Read Full Bio
Robert Fried
Robert Fried
Read Full Bio
J. Stephen King
J. Stephen King
Read Full Bio
Bernard Kornberg
Bernard Kornberg
Read Full Bio
Randy Legg
Randy Legg
Read Full Bio
John H. Lively
John H. Lively
Read Full Bio
Gino Malaspina
Gino Malaspina
Read Full Bio
Kirk A. Montgomery
Kirk A. Montgomery
Read Full Bio
Robert Moreiro
Robert Moreiro
Read Full Bio
Jorge O’Reilly
Jorge O’Reilly
Read Full Bio
Richard Pasquier
Richard Pasquier
Read Full Bio
John F. Ramirez
John F. Ramirez
Read Full Bio
Andrea J. Shaw
Andrea J. Shaw
Read Full Bio
Thomas G. Sheehan
Thomas G. Sheehan
Read Full Bio
Ryan P. Smith
Ryan P. Smith
Read Full Bio
John C. Swhear
John C. Swhear
Read Full Bio
George O. Walker
George O. Walker
Read Full Bio

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.

Contact Us
triangle-pattern-right
Search Icon