FINANCIAL INDUSTRY

Law for Traders from Lawyers who Trade®

Ziliak Law was built with the needs of financial industry participants in mind. When broker-dealers, commodity trading advisors and pool operators, hedge funds, investment advisers, and proprietary trading groups have legal questions, Ziliak Law provides solutions that reflect experience with the business, legal, operational, and regulatory sides of the financial industry.

The financial industry is complex and dynamic. Industry participants contend with restrictions from statutes, regulators, exchanges, and self-regulatory organizations and thus frequently have need for legal assistance. But most attorneys who offer advice on these issues have little experience with trading strategies, mathematical models, and computer algorithms — the world in which modern advisors and trading companies operate. Because many of our team have worked in the industry in a variety of roles, we understand the business of trading, the complexities of managing money, and the importance of regulatory compliance. Our team’s extensive experience with drafting policies and procedures, structuring private placements, responding to regulatory inquiries, and handling dispute resolution helps ensure effective legal solutions for our clients.

Financial-Industry-Practice

FUND FORMATION

  • Draft Private Placement Memoranda and other Offering Materials
  • Advise and Form Offshore Master-Feeder Structures
  • Advise on Securities Act of 1933, Regulation D, Regulation S, and Regulation A Exemptions and Compliance
  • Commodity Exchange Act Compliance
  • Commodity Pool Operator and Commodity Trading Advisor Registration and Exemptions
  • State and SEC Investment Adviser Registration, Exemptions, and Compliance
  • Investment Company Act (Mutual Fund) Registration and Exemptions

FORM AND ADVISE THE FOLLOWING MARKET PARTICIPANTS

  • Commodity Pool Operators and Commodity Trading Advisors
  • State and SEC Investment Advisers
  • Investment Companies
  • Broker-Dealers
  • Alternative Trading Systems
  • Eligible Contract Participants

COMPLIANCE SOLUTIONS

  • Advise on changing regulations and their implications for your business
  • Draft policies and procedures applicable to your operation
  • Conduct review of existing policies, procedures, regulatory documents (e.g. Form ADV and Form BD), and supervisory systems to identify and address deficiencies
  • Evaluate risk environment and advise on appropriate controls
  • Consult on regulatory reviews and findings

DISPUTE RESOLUTION

  • Arbitration: CME, FINRA and NFA
  • Litigation: State and Federal, SEC and CFTC
  • Mediation: FINRA and NFA