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.

9 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 Senior Attorney 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
Zwirb, Robert S. Consulting Attorney Washington
T. +1 202 862 2291

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