Financial Services Regulatory

Advising financial services firms and companies on their regulatory obligations under law

Why Cooley
  • Advise on all aspects of compliance with federal and state laws and regulations and SRO regulations applicable to broker‐dealers, investment advisers, alternative trading systems, and securities trading and funding
  • Support emerging and established companies on the development and operation of funding portals and online capital-raising platforms, including in the venture capital, angel investing, crowdfunding and private and public securities markets
  • Our clients include: broker-dealers; insurers, reinsurers and captives; insurance and reinsurance distributors; alternative investment fund managers; venture capital, private equity and hedge fund manager advisors; asset managers; crowdfunding platform providers; financial advisors

Cooley is at the bleeding edge of some of the most interesting and disruptive developments in the financial sector.

– Chambers Global 2018

The folks on the other side of the table listen to the folks at Cooley which really makes the dynamics of doing deals much better.

– Chambers USA
Group Contacts
Kenneth Juster Partner, Boston
Andy Roth Partner, New York
Patrick Murck Special Counsel