Our team of specialists offers valuable insight and experience in the complexities associated with foreign broker-dealers transacting business with US institutional investors.  Sutton can provide support in the interpretation and development of 15a-6 compliant processes such as:

  • Effective chaperoning of foreign broker-dealer activities, including road shows, analyst visits and conferences
  • Review of settlement and custody solutions specific to each respective foreign market
  • Research distribution, global branding, cross border related issues and system integration