Broker Dealer Agreements


Our lawyers have extensive experience in supporting clearing, self-clearing and the introduction of firms for contractual and regulatory matters, both domestically and globally. We negotiate and prepare a large number of sector agreements and work with clients to structure their global activities between their U.S. and foreign subsidiaries, third parties and other companies such as banks, investment advisors, securities issuers and technology providers. Our team assists clients, among others, with customer documentation, disclosures, your client`s issues (KYC), anti-money laundering (AML) and conflicts of interest. We also help companies prepare for and respond to audits and requests from the SEC, FINRA, state, and other supervisory authorities, including routine requests, cycle and cause audits, Wells communications, and regulatory scans. Our lawyers` comprehensive approach is to assist dealer brokers, investment advisors and others in mergers and acquisitions, obtaining regulatory qualifications and approvals, labour and employment advice and litigation, defending client claims in FINRA arbitration proceedings, as well as in litigation and tax matters, including under the Foreign Account Tax Compliance Act (FATCA). This broker-dealer agreement can be executed in several counterparties, each of which is an original and all representing the same instrument. The auction agent must have entered into a broker-dealer contract with each broker-dealer prior to the participation of such dealer broker in an auction. Parties: BLACK CREEK DIVERSIFIED PROPERTY FUND INC. | Black Creek Capital Markets, LLC | Black Creek Diversified Property Fund Inc | Black Creek Diversified Property Operating Partnership LP | Black Creek Exchange LLC Document Date: 05.03.2020 Governing Law:New York Our jurisdiction includes the wide range of THE SEC, finra, state and regulation and compliance, including: This broker-dealer agreement is not considered to be fully or partially modified, supplemented, repealed, cancelled, or voided, except by a written act signed by a duly authorized representative of the parties.