Regulatory Advice
Peter advises clients about their rights, duties, and responsibilities in connection with a wide range of issues relating to commodities, securities, options and Forex businesses. Some of these issues involve:
- Scope of Dodd-Frank Wall Street Reform and Consumer Protection Act
- Swap Dealers and Major Swap Participants
- Issuing shares in a Private Placement in the U.S. in anticipation of a public offering to be made in Canada
- Trade Secrets and Confidentiality of Information relating to Proprietary Algorithmic Automated High-Speed High-Frequency Trading Systems under Non-Compete Agreements and the Uniform Trade Secrets Act
- Anti-Money Laundering Policies and Procedures, Surveillance, Audits, Compliance Officers, Training Employees to Detect “Red Flags”, and Suspicious Trade Practices
- Rules relating to Forex Dealer Members (FDMs) and RFEDs
- Enhanced Supervision of Brokers
- Scope of the CFTC’s Jurisdiction
- Trading on CBOT’s Globex and NYSE’s Arca Platforms
- Trading OTC Securities
- Client’s Intellectual Property Rights to Software Developed for Trading Futures and Options Contracts
- Development of Online Courses for Trading Futures and Options Contracts
- Registration of a Foreign Investment Adviser as a U.S. Broker-Dealer or Investment Adviser Planning to Do Business in the U.S.
- Duties and Responsibilities under Clearing Agreements
- Drafting Customer Agreements
- Expungement of Information on the Central Registration Depository (CRD), BrokerCheck, and BASIC
- Auction Rate Securities
- Exemptions from Registration as a CPO and CTA
- Exemptions from Registration as Broker-Dealer and Investment Adviser