We help broker-dealers, funds, investment advisors and trading platforms with range of state and federal applications, internal and external reviews, GDPR compliance, OFAC sanctions program reviews, AML and KYC policy formation, Reg W guidelines, FATCA compliance, OCC bank reporting, forms BD, D, U4 and ATS and conflicts of interest reviews.
Current experience includes:
- assisting clients with advice concerning regulation of cryptocurrency platforms, including discussions with the SEC's FinHub and reviewing the impact of concurrent ICOs
- reviewing updated OFAC guidelines in relation to Venezuela-related blocked accounts
- advising a startup online platform in connection with Form ADV / investment adviser application
- advising a broadcast media company in connection with GDPR compliant privacy policies
- advising on comparative Latin America related regulatory issues