Claudette Robertson Druehl is an associate in White & Case's Securities Practice Group, concentrating on broker-dealer and investment adviser regulation and state securities laws.
Ms. Druehl advises state and federally registered broker-dealers and investment advisers on federal, state, and self-regulatory organization and compliance matters. She has also sheperded clients through the state, federal, and self-regulatory registration process. She advises clients on establishing policies and procedures to facilitate compliance with supervision and regulatory requirements and advises clients on day-to-day legal and compliance matters. In addition, Ms. Druehl advises foreign broker-dealers on activities within the United States, including marketing, registration, and compliance with Rule 15a-6. She also advises on the issues affecting the creation and operation of unregistered investment funds.
- Representing a major banking institution on the sale of its global futures business.
- Registration of a broker-dealer subsidiary of a large Brazilian bank.
- Advising on the offshore outsourcing of the back-office operations of one of the world's largest investment banks and securities broker-dealers.
- Broker-dealer registration of a subsidiary of a major fund adviser for marketing private funds in the US.
- Representing energy and shipping broker in a joint venture arrangement with a major broker-dealer.
- Advising US securities subsidiaries on transactions with foreign parents.
- Applications to FINRA for registration as a broker-dealer and to expand membership agreements to include new lines of business.
- Advising compliance and legal departments on day-to-day issues.
- Advising endowment of foreign university on issues related to the Exchange Act and Advisers Act.
Bars and Courts
New York State Bar, 1999
Massachusetts State Bar, 1998
JD, Boston University School of Law, cum laude, Editor of Annual Review of Banking Law, 1998
BA, Newcomb College of Tulane University, cum laude, 1994