K&L Gates

K&L Gates’ practice is known for providing practical advice to broker-dealers, hedge funds, private equity, and other fund sponsors on managing complex regulatory issues. The team advises retail and institutional brokers, clearing firms, exchanges, proprietary traders, and fund managers across asset classes and investment structures. Key areas of focus include regulatory compliance, government enforcement, cross-border regulation, capital markets, and portfolio trading, as well as tax and structuring matters. The firm has significant expertise in navigating dealings with regulators and self-regulatory organizations (SROs) globally, including the SEC, CFTC, and FINRA. The team also assists clients with obtaining interpretive, exemptive, or no-action relief. Led by Michael Caccese and Clair Pagnano in Boston, and Mark Amorosi and Ndenisarya Meekins in Washington DC, the practice is recognized for its capability in addressing sensitive regulatory matters and maintaining strong relationships with regulatory authorities.