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Assist in providing legal counsel to company’s affiliated broker-dealer and investment advisers, and to bank departments engaged in Securities Work, including the following: o Review and advise on issues related to regulatory matters and reporting, new legislation, and compliance questions. Review and advise on M&A transactions and transactions with third party service providers. Draft, advise on and negotiate client agreements, and other documents related to investment advisory and broker-dealer businesses, including client applications and agreements, NDAs, and vendor arrangements.

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Published at 27-10-2014
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