Bressler advises broker-dealers and investment advisers on a wide range of domestic and international regulatory and compliance issues. Those issues start with entity formation and continue with the full range of issues that firms encounter as they seek to achieve and maintain compliance with applicable laws and rules. These matters sometimes arise on an ad hoc basis and in other cases in the context of regulatory exams for which clients request our assistance.
- Alert, Financial Institutions Law Alert, 04.15.2020
- Alert, Financial Institutions Law Alert, 04.01.2020