SECURITIES LAW
 
At Emeritus, PA we use a holistic and inclusive approach to service our clients by drawing on the expertise of outside companies or persons to provide ancillary services.  We endeavor to provide a unitary point of service to reduce our client’s expenses and improve their efficiency.  Our lawyers handle a variety of issues for Broker/Dealers and Registered Investment Advisors including, but not limited to, the following areas:

Securities Litigation/Arbitration/Mediation Compliance support and training Interpretive guidance for financial industry rules and regulations Anti-Money Laundering compliance HR Solutions Employee Contracts and Disputes Industry Best Practices 1017 Business Unit Development Review and Approval

We combine years of industry management and compliance experience with legal competency to provide our clients the following services:

Litigation, Audit, Inquiry and Exam Support

• SEC
• FINRA
• International (Canada & UK)
• State and Federal Agency (DOJ, DHS, State Attorney General)

Compliance

• 3130  Annual Certification of Compliance of Supervisory Process
• 3012  Supervisory Control System Reviews
• 3310  Independent Anti-Money Laundering (AML) compliance testing
• FINCEN Filings – SAR
• WSP updates and maintenance
• Supervisory Controls
• Records retention requirements
• AML compliance and support

Interpretive Guidance and Training

• Regulation NMS
• OATS
• TMMS prep
• Cycle exam prep
• For Cause exam support
• Regulatory inquiry support
• Litigation management and avoidance
• 1017 filings: new or amended business activity