Amy Natterson Kroll counsels US and non-US financial institutions on US regulatory requirements and best practices related to broker and dealer activities. Clients seek Amy’s advice on, among other things, issues related to implementation of new regulations, such as the Volcker Rule and Municipal Advisor regulation; the acquisition and sale of broker-dealers; expansion of business and related regulatory requirements for financial institutions; and regulations related to the capital markets, such as research activities and research analysts, supervisory controls and internal controls, and cross-border securities activities. Amy also advises clients on the collateral consequences of enforcement, civil, and criminal actions. Amy has a specific interest in the issues central to regional full-service and mid-market broker-dealers.
