Advises broker-dealers, hedge funds and other financial institutions on matters arising under the rules of the SEC, CFTC and various self-regulatory organizations, including the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA) and various securities and futures exchanges.

Derek advises clients on a wide range of regulatory issues affecting financial services firms, with a focus on equity and futures trading practices, alternative trading system regulation, best execution practices and compliance with Regulation SHO, Regulation M, Regulation NMS and the Market Access Rule.

He also advises broker-dealers and hedge funds on anti-money laundering and sanctions regulations, with a focus on AML programs designed to detect and mitigate the risks of securities fraud and market manipulation. Derek counsels on a wide array of products, including cash equities, OTC and listed options, swaps, futures and fixed-income instruments.

In addition to advisory work, Derek represents buy-side and sell-side firms in regulatory investigations and enforcement actions.