Investment Industry

DTT assists clients in connection with the full range of securities industry products and activities and all aspects of the securities and investment company business: from the organization and establishment of investment firms (broker/dealers), mutual (contractual) funds, investment companies and asset management companies, as well as to alternative investment funds (AIFs) and AIF managers, to providing ongoing advice to the activities and operations of such entities.

More specifically, we counsel investment firms and funds about general corporate issues and, especially, about the applicability of the securities laws and the rules of the self-regulatory organizations related to their activity, including internal rules drafting, sales and trading practices, best execution and suitability issues, net capital requirements, margin issues, insider trading, “Chinese Walls”, anti-money laundering. The scope of our services includes also advice and support in creation of new financial products and structuring new services, marketing, advertising and distribution of investment products, corporate governance matters for financial institutions.

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