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The General Counsel's Office is responsible for legal and regulatory support for all aspects of the Company’s business. This includes (1) providing legal and regulatory support for all aspects of core SIFMU activities, including new products, clearing services or other business initiatives, identifying and resolving regulatory issues, supporting ongoing rule filings and supporting regulatory exam processes and issues, (2) providing legal support for contracts and transactions, including complex business initiatives such as M&A and joint ventures, and routine and non-routine legal agreements relating to the ongoing operation of the Company’s businesses, (3) identifying and analyzing legal and regulatory issues as they develop that may impact the Company’s business, (4) managing any ongoing litigation, subpoenas or other legal process and investigations, and providing advice relating to mitigating litigation risks, and managing, outside counsel as appropriate with respect to all of the above.

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Published at 09-04-2015
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