T +1 212 819 8206
Claudette Robertson Druehl represents broker-dealers and investment advisers in a wide range of regulatory matters and compliance matters. She advises clients on the necessity of registration and reliance on various exemptions and has shepherded brokers and advisers through the state, federal, and self-regulatory organization 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. Claudette advises foreign broker-dealers on activities within the United States, including marketing, registration, and compliance with Rule 15a-6. In addition, she advises on federal securities exemptions and corresponding state law exemptions.
Clients who benefit from Claudette's knowledge and experience include US and non-US financial institutional and their investors. She regularly works as part of large, international teams. She has developed long-term relationships with a number of these clients, some of which she has advised for 15 years. Claudette has represented Morgan Stanley, Deutsche Bank, GreensLedge Capital Markets, ISI Group (prior to its merger with Evercore), and Goldman Sachs in connection with numerous legal and compliance matters.
Representation of a confidential client in connection with the registration of a broker-dealer which acquired a business line from a large US bank.
Representation of major banking institution on the sale of its global futures business.
Representation of a confidential client in connection with the registration of a broker-dealer subsidiary of a large Brazilian bank.
Representation of a confidential client in connection with advising on the offshore outsourcing of the back-office operations of one of the world's largest investment banks and securities broker-dealers.
Representation of a confidential client in connection with the broker-dealer registration of a subsidiary of a major fund adviser for marketing private funds in the US.
Representation of a energy and shipping broker in a joint venture arrangement with a major broker-dealer.