Market Compliance


Frank J. Bukhart Associates has been in the legal industry for some years and it continues to advise broker-dealers on all areas of financial market regulation and it is considered as one of its legal expertise.

We work meticulously with our clients to guarantee full compliance with the essential requirements required by the Securities and Exchange Commission, the Federal Reserve Board and other regulatory related agencies as well as those self-regulatory organizations. We regularly considered handling issues concerning correspondent clearing, lending, customer protection, capital, margins, and even prime brokerage. We are well-known for our legal expertise and knowledge on trading practices especially on securities exchanges and we have legal experts and practitioners who have been in the market industry for many years.

 

We often counsel our clients, mostly the broker-dealers on matters occurring under the federal laws and regulations that administer investment advisers, investment companies, financial institutions and securities markets. We always advise them on the existing and latest rules provided by the SEC and other regulatory agencies, including those self –regulatory organizations. We are also in regular contact with the principal regulators, giving us an in-depth and comprehensive understanding about their main objectives and goals.

We provide legal counsel on:

Examination and sweeps-based enforcement actions
Short sales, prime brokerage, securities lending, and other compliance issues
Credit derivatives, options, swaps, and similar hedges
Collateralized debt obligations
Clearing, account settlement and order-routing and execution agreements
Directed brokerage and soft-dollar arrangements
Clearance and settlement issues, as well as margin and securities lending concerns
Net capital and customer securities segregations issues

 


Our Mission

Our mission is to achieve superior results for our clients. Frank J. Bukhart Associates is a leading Am Law 100 and Global 100 law firm, with offices across the United States and in Europe and Asia. We work closely with clients to advance business objectives in the U.S. and abroad. Our corporate headquarters are in Delaware,Helping our clients navigate the challenges of a rapidly changing world.

FAQ

  • What is Class Action ?

    A class action, class suit, or representative action is a type of lawsuit where one of the parties is a group of people who are represented collectively by a member of that group.

  • Where Class Action Originated ?

    The class action originated in the United States and is still predominantly a U.S. phenomenon, but Canada, as well as several European countries with civil law have made changes in recent years to allow consumer organizations to bring claims on behalf of consumers.

  • What is Litigation ?

    Litigation is the term used to describe proceedings initiated between two opposing parties to enforce or defend a legal right.

  • What is Lawsuit?

    A lawsuit involves a plaintiff filing a formal Complaint with the appropriate court.

Our Services

Advisory Services

assists public companies in preparing for, reviewing and defending against unsolicited takeover attempts.

1.

Class Action

Many lawyers, both the plaintiffs' counsel who receive a recovery only if the class prevails...

2.

Capital Market

We have a wide international understanding of the basic legal requirements in multinational trading.

3.

Finance

We help create business entities, such as corporations, partnerships and joint ventures.

4.

Litigation

We assist clients in a wide range of industries with trials, arbitrations, mediations ...

5.

Market Compliance

We provide both public and private sector employers with practical and strategic advice.

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Real Estates

We take a proactive approach to developing and implementing solutions to your distinct challenges to help you manage your real estate assets.

7.

Security

Our attorneys excel at defending against securities class action suits, shareholder derivative claims, mutual fund litigation, and merger and acquisition litigation.

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