Organization and registration of retail broker-dealers, futures commission merchants, registered investment advisers and commodity trading advisers
Chuhak and Tecson works with financial services participants in formulating business plans and navigating those plans through the operational stage. Our work includes organizing and obtaining required regulatory approvals for broker-dealers (BDs), futures commission merchants (FCMs), registered investment advisers (RIAs), hedge fund managers and commodity trading advisers (CTAs).
Mergers and acquisitions of financial services industry firms
Chuhak and Tecson represents buyers and sellers in acquisitions of BDs, RIAs, introducing brokers, commodity trading advisers and other financial services firms. In addition to the regulatory experience necessary to effect such acquisitions in the financial services industry, we have extensive knowledge of the business considerations that are important in completing such acquisitions, representing either the buyer or seller.
Securities and futures compliance
Chuhak and Tecson has created compliance programs for securities and futures firms, both small and large. We prepare compliance programs for regional BDs and provide legal advice regarding the intricacies of the sales practice questions.
Counseling to money managers
Chuhak and Tecson is actively involved in the organization and management of pooled money in the form of hedge funds, commodity pools and private funds. We also counsel money managers, whether they be commodity trading advisers or registered investment advisers, and assist clients in operating hedge funds and commodity pools, including the preparation of disclosure documents.
Investigations and enforcement proceedings
Chuhak and Tecson has particular proficiency defending Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and state agencies in exchange investigations and enforcement proceedings. Due to the frequent involvement with enforcement offices, our attorneys manage issues through crafting innovative undertakings and are able to avoid unwanted remedial measures.