Derek Manners

Derek Manners is an associate in Dechert’s financial services group. His practice focuses primarily on advising investment advisers and broker-dealers on compliance with the federal securities laws and regulations and on compliance with the rules of SROs, including FINRA. 

Mr. Manners has extensive experience advising clients with respect to investment adviser and broker-dealer regulation and on all facets of ongoing compliance matters. He routinely helps investment advisers and broker-dealers in registering with the SEC and the states and on becoming members of SROs such as FINRA. He also frequently assists existing broker-dealers and investment advisers in obtaining approval to implement changes in business and changes in ownership. He also advises clients on their supervisory procedures and compliance policies and provides general regulatory advice. Mr. Manners also represents clients in enforcement actions before the SEC and FINRA.