We specialize in advising institutions and investors U.S. financial services compliance and the SEC’s rules and regulations. Mark Berman, head of the practice, is a former senior SEC lawyer who authored the definitive industry guide, SEC Regulation Outside the United States (going into its 7th edition), founded and chairs a conference on the same topic and conducts specialist workshops on SEC regulation and SEC inspections of non-US advisers in the USA, Europe and Asia.
We will assist on:
- registration as an investment adviser
- registration as a broker-dealer
- registration as a futures commission merchant
- non-transactional issues under the U.S. federal securities laws and SEC rules
- corporate governance issues
- RFP processes to appoint or replacing the depositary for ADR and DR programs
- implementing and reviewing compliance programs and ADR and DR programs
- training directors, compliance officers (including chief compliance officers) and operations and trading staff
- Codes of Ethics (including PA dealing)
- preparing for examinations and investigations, including conducting “mock exams”
- conducting annual reviews
- handling all aspects of SEC practice for non-U.S. persons