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Article Discusses U.S. Regulatory Requirements Applicable To Broker-Dealers and Advisers Outside the U.S.
February 17, 2012
London-based securities partner Mark Bergman and associate Patricia Vaz de Almeida published an article discussing the applicability, requirements and enforcement implications of the U.S. securities laws to securities intermediaries and investment advisers based outside the United States in respect of activities that target clients in the United States. The article, "U.S. SEC Settlement with Portuguese Bank Highlights Reach of U.S. Securities Laws To Broker-Dealers and Advisers Outside the United States," appeared in the February issue of BNA International's World Securities Law Report.
To read the article, click here.