Securities Regulatory Compliance Counseling
We regularly counsel clients on a multitude of regulatory requirements, including compliance policies and procedures; sales practices, suitability and “know your customer”; supervisory responsibilities and compliance procedures; short sales and stock lending; trading, order handling and trade reporting; insider trading prevention and information barriers; research, advertising and sales literature; online trading; net capital; soft dollars; books and records retention; credit transactions (Regulations T, U and X and SRO margin Rules), including portfolio margining; clearing and prime broker relationships; and CFTC registration requirements and counterpart-analogous requirements under state securities laws. In addition, we conduct audits and internal investigations to assist clients in assessing the adequacy of their regulatory controls.
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