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Financial Services Regulatory and Compliance

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Overview

Our Clients

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).

Our Services

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.

Firm News
Advisories
November 24, 2015
Newsletters
September 21, 2015
September 14, 2015
August 31, 2015
August 24, 2015
August 17, 2015
August 10, 2015
August 3, 2015
July 27, 2015
July 20, 2015
July 13, 2015
July 6, 2015
June 29, 2015
June 22, 2015
June 15, 2015
June 8, 2015
June 1, 2015
May 18, 2015
May 11, 2015
May 4, 2015
April 27, 2015
April 20, 2015
April 13, 2015
Events
November 2–3, 2017
October 26, 2017
June 7, 2017
March 17, 2017 - New Date
November 16–17, 2016
November 16, 2016
November 15, 2016
Women in Compliance | New York, New York
October 27, 2016
October 25–26, 2016
May 24, 2016
April 28, 2016
April 27, 2016
April 13, 2016
March 15–18, 2016
FIA Boca 2016 Conference | Boca Raton, Florida
March 10, 2016
FOW Trading Amsterdam | Amsterdam, The Netherlands
February 25, 2016
February 9, 2016
February 4, 2016
January 25–26, 2016
December 8, 2015
December 3, 2015
Regulatory Horizon 2016 | London, W1S 4BS
November 11, 2015
November 5, 2015
FIA Futures and Options Expo | Chicago, Illinois
October 27, 2015
Global Summit 2015 | London, United Kingdom
October 21, 2015
Canadian Annual Derivatives Conference | Québec City; Quebec, Canada
October 6, 2015
September 30, 2015
July 28 and July 30, 2015
June 22–23, 2015
June 9–10, 2015
International Derivatives Expo | London, United Kingdom
May 5, 2015
Compliance 2015 | New York, New York
April 29, 2015
AIFMD Hedge Fund Roundtable | New York, New York
April 23, 2015
March 17, 2015
FOW Trading Amsterdam 2015 | Amsterdam, Netherlands
March 5, 2015
Building a Presence in the US | London, United Kingdom
February 25, 2015
January 15–16, 2015
Blockchain Technical & Legal Workshop | Cambridge, Massachusetts
November 20, 2014
November 5, 2014
Hedge Fund Americas Forum 2014 | New York, New York
November 5, 2014
May 7–10, 2013
April 25, 2013
March 17–20, 2013
January 22–24, 2013

Recognition

Legal 500 UK – Corporate and Commercial – Financial Services (Non–Contentious/Regulatory)
Corporate and Commercial – Financial Services (Non–Contentious/Regulatory), 2013–2017
Legal 500 UK – Financial Services
Financial Services, 2012
U.S. News Best Lawyers "Best Law Firms" – Financial Services Regulation Law (National)
Financial Services Regulation Law (National), 2012
Chambers Global – Investment Funds: Hedge Funds
Investment Funds: Hedge Funds, 2014
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Recognition

Corporate and Commercial – Financial Services (Non–Contentious/Regulatory), 2013–2017
Financial Services, 2012
Financial Services Regulation Law (National), 2012
Investment Funds: Hedge Funds, 2014