Investment Management Regulation & Compliance

In an evolving regulatory and enhanced enforcement environment, Cadwalader assists clients in all aspects of the regulatory landscape, including:

  • SEC registration and compliance issues, such as investment advisor registration
  • CFTC and NFA registration and compliance issues, such as commodity pool operator and commodity trading advisor registration;
  • SEC-compliance programs and training seminars;
  • Advice on trading rules and compliance;
  • Insider trading investigations;
  • Schedule 13D, 13G, 13F, and Section 16 filings;
  • International securities offerings and AIFMD;
  • Soft dollar use and best execution practices;
  • SEC audit, investigations, and enforcement proceedings;
  • Analysis and planning for CFTC, SEC and other agency/SRO rulemaking;
  • ERISA;
  • Advice on offerings materials, including FINRA and JOBS Act rules;
  • Anti-money laundering and OFAC compliance;
  • Foreign Corrupt Practices Act;
  • State “blue sky” compliance;
  • FATCA and other tax reporting and compliance; and
  • Volcker Rule and bank-affiliation issues as investors and investees.

10 Attorneys

Bartlett, Maurine R. Senior Counsel New York
T. +1 212 504 6218
Cuthbertson, Sophie K. Partner Washington
T. +1 202 862 2341
Damianova, Assia Special Counsel London
T. +44 (0) 20 7170 8564
Highman, Mark Professional Advisor New York
T. +1 212 504 5604
Lefkowitz, Matthew Associate New York
T. +1 212 504 6227
Lofchie, Steven Partner New York
T. +1 212 504 6700
Mehta, Dorothy D. Partner New York
T. +1 212 504 6846
Quirolo, David Partner London
T. +44 (0) 20 7170 8635
Shiren, Nick Partner London
T. +44 (0) 20 7170 8778
Zwirb, Robert S. Consulting Attorney Washington
T. +1 202 862 2291

Contact(s)

Steven Lofchie
+1 212 504 6700 
steven.lofchie@cwt.com
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Maurine R. Bartlett
+1 212 504 6218 
maurine.bartlett@cwt.com
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Dorothy D. Mehta
+1 212 504 6846 
dorothy.mehta@cwt.com
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Mark Highman
+1 212 504 5604 
mark.highman@cwt.com
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CadwaladerNews

CadwaladerSpotlight

June 27: SFIG Legal Counsel Forum 2018

Partners Scott Cammarn and Neil Weidner will be speaking at this event in New York City.

Cadwalader's research and intelligence platform provides analysis on changes in U.S. financial regulation. Subscribers receive a daily newsletter interpreting new laws, rules and enforcement actions that impact financial institutions.