Claudette R. Druehl

With decades of experience, Claudette has long-standing relationships with major financial institutions. She also works with start-up fintechs, asset managers, private fund advisers, venture capital firms, brokers, placement agents, and trading platforms as they launch their businesses.

Claudette counsels clients on SEC and FINRA registration requirements and exemptions and assists firms with federal, state, and self-regulatory organization registration processes. She advises on compliance programs, supervisory policies, and day-to-day regulatory matters, represents clients in routine and for-cause regulatory examinations, and counsels on changes of control and other corporate changes with regulatory implications for broker-dealers and investment advisers.

Her practice also includes advising on fund marketing and distribution matters; drafting and negotiating placement agent, chaperone, and intercompany service agreements; and counseling on federal and state securities law exemptions.