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 institutions and their investors. She regularly works as part of large, international teams. She has developed long-term relationships with a number of these clients, including Morgan Stanley, Deutsche Bank, GreensLedge Capital Markets, ISI Group (prior to its merger with Evercore) and Goldman Sachs, as well as other large and mid-size advisory and brokerage firms in connection with numerous legal and compliance matters.
Claudette was a Legal Aid Society 2016 Pro Bono Publico Awards Honoree.
Advising clients with respect to US broker-dealer and US Investment Adviser registration requirements applicable to entities and individuals engaged in various types of activities in the U.S.
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 an energy and shipping broker in a joint venture arrangement with a major broker-dealer.
Advising broker-dealers, fund managers, and large investors with respect to negotiation and drafting of private fund placement agreements, including compliance with SEC and FINRA requirements applicable to broker-dealers engaging in placement agent activity.
Reviewing and drafting marketing materials for broker-dealers and fund managers for compliance with SEC and FINRA advertising rules, including review of private fund offering documents (PPMs and subscription agreements) and flipbooks.
Advising foreign entities with respect to dealing with U.S. persons in reliance on Rule 15a-6.