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Claudette Robertson Druehl's practice focuses on broker-dealer and investment adviser regulation and state securities laws.
Claudette advises state and federally registered broker-dealers and investment advisers on federal, state, and self-regulatory organization 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. In addition, Claudette advises foreign broker-dealers on activities within the United States, including marketing, registration, and compliance with Rule 15a-6.
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 an energy and shipping broker in a joint venture arrangement with a major broker-dealer.