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Investment Dealers

We have extensive experience and a national reputation in acting for investment dealers and underwriters. We frequently advise underwriters in connection with prospectus offerings and private placements of debt and equity securities. We regularly design, plan and execute due diligence investigations on behalf of dealers who are undertaking financings or providing advisory services. We also advise investment dealers, on an on-going basis, on compliance matters relating to internal administration and permitted trading and advising activities. We routinely assist clients with obtaining all forms of registration with securities regulators, including registration as brokers, mutual fund dealers and portfolio managers, and individual registrations as directors, trading officers and investment advisers.