Margaret concentrates her practice on counselling investment advisers, broker-dealers and other financial institutions on all matters relating to the development and offering of investment products and services. Margaret has a particular expertise in the unique marketing, disclosure, conflicts, supervisory, sales practice and compensation issues that these firms face.
Her clients include domestic and global asset management firms, broker-dealers, banks and insurance companies as well as specialized firms servicing high net worth, institutional or other unique clients. Many of Margaret's clients are dually registered or part of a multi-registrant holding company structure.
In addition, Margaret has extensive experience representing clients in their dealings with the Securities and Exchange Commission, state securities regulators and self-regulatory organizations such as FINRA. She advises domestic and international clients on various aspects of the Dodd Frank Act. Specifically, she has counselled clients on the changes to the investment adviser registration requirements, and represented financial institutions in submitting comments to regulatory agencies on the Credit Risk Retention Rules and the Volcker Rule. Margaret counsels non-US broker-dealers and investment advisers on conducting business in the United States. Margaret has organized and registered investment advisers, investment companies and broker-dealers, and has represented these entities in mergers, acquisitions, changes in control and material changes in business. She also specializes in the regulatory issues associated with private investment companies.
Margaret is admitted to the Washington DC Bar and the New York State Bar.
