SEC Registration and Compliance

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