Securities and Investment Management Firms
Sutherland works with U.S. and non-U.S. securities and investment management firms to build platforms for selling investments, managing portfolios and providing advice outside their home jurisdictions. These platforms require careful attention to legal and regulatory requirements for reaching and doing business with investors.
We have one of the country's leading practices representing broker-dealers, securities firms and money managers. Our clients include significant U.S. and non-U.S. financial holding companies and their subsidiaries and affiliates. We work with a range of firms and across a full spectrum of product lines:
- Regulatory requirements for access to market
- Choice and formation of business structure
- Business structures subject to U.S. regulation:
- Securities and Exchange Commission (SEC) registration and Financial Industry Regulatory Authority (FINRA) membership
- Representation in regulatory matters before the SEC, FINRA, the Municipal Securities Rulemaking Board, banking agencies and state financial services regulators
- Acquisitions, dispositions and restructuring
- Development of products and services for specific country markets
- Joint ventures and other strategic alliances
- Compensation structures
- Compliance and supervisory procedures
- Marketing initiatives
- Client disclosures
- Operational and record keeping obligations
- Custodial arrangements
- Capital requirements and other applicable customer protection issues
- Utilization of intermediaries, including transfer agents
- Regulatory exams and audits
- Disciplinary proceedings, litigation, arbitration and other dispute resolution
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