Attorneys in our Financial Services practice represent broker-dealers, futures commission merchants, clearinghouses, registered investment companies, hedge funds, venture capital funds and private equity funds, investment advisers, commodity trading advisors, commodity pool operators, banks, savings associations, trust companies and their parent holding companies in a broad range of regulatory issues before federal and state agencies and self-regulatory organizations (SROs) nationwide. Katten’s active Financial Services and Regulatory Compliance team works with firms and individuals registered with the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) as well as SROs such as the Financial Industry Regulatory Authority (FINRA).
We help clients find business-based solutions and make business-driven decisions that are in compliance with applicable regulatory requirements. Our team advises clients concerning securities, commodities, cleared and uncleared swaps and security-based swaps, and compliance, regulatory and enforcement matters. We also conduct independent compliance and technology reviews and audits, including in relation to enforcement action settlements.
Our attorneys guide clients through all aspects of regulatory compliance, including trading rules and clearing procedures, SEC, CFTC and Department of the Treasury filing requirements, sales practices, recordkeeping and reporting, and anti-money laundering regulations, as well as the preparation of compliance manuals and supervisory procedures and the development and implementation of training programs. We assist in the interpretation of CFTC, SEC, SRO and banking rules and regulations, and with CFTC and SEC registrations, banking applications, and exchange and clearinghouse membership applications.