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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.
