Regulatory and Compliance
Schulte is a full-service law firm with industry-leading practices in financial services, including the area of regulation & compliance. With a client base of more than 300 financial services firms, including investment banks, commercial banks, hedge funds, private equity funds, mutual funds, closed-end funds, business development companies and employee benefit plans, we have an in-depth knowledge of industry terms and practices and a breadth of experience that few other firms can equal.
“Market-leading team assisting high-profile hedge and private equity fund clients in compliance with regulations. Experienced in matters involving the SEC, CFTC and National Futures Association.” — Chambers USA
- All issues related to the U.S. Investment Advisers Act, the U.S. Investment Company Act, the U.S. Securities Act, the U.S. Securities Exchange Act, the U.S. Commodity Exchange Act, rules of the U.S. Financial Industry Regulatory Authority (FINRA), the U.K. Financial Services and Markets Act 2000, rules of the U.K. Financial Conduct Authority (FCA) and numerous stock exchanges
- Registration (or exemption from registration) of investment advisers, broker-dealers, mutual funds, closed-end funds, business development companies, commodity pool operators and commodity trading advisors
- Securities trading issues, including insider trading, market manipulation, principal and agency cross transactions, trade allocations, short selling and valuations
- Issues arising under the U.S. Foreign Corrupt Practices Act (FCPA) and the U.S. Office of Foreign Asset Control (OFAC) sanctions programs, the USA PATRIOT Act and U.S. and U.K. anti-money laundering regulations
- Bank regulatory issues, including those related to the U.S. Bank Holding Company Act and the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act and various state banking laws
- All issues related to laws governing employee benefits and employee benefit including the U.S. Employee Retirement Income Security Act (ERISA), the U.S. Internal Revenue Code and the Taft-Hartley Act
