Financial Regulation & Compliance

Many of our regulatory compliance attorneys spent significant portions of their careers inside the SEC, FINRA, NYSE, as well as in-house for large asset management industry firms and investment banks. We’re pros at regulatory compliance and corporate governance, providing counsel to publicly held companies, investment advisory firms, investment fund companies, broker-dealers, banks, and financial services enterprises of all shapes and sizes, as well as boards of directors/trustees, committees, senior executives, and public accounting firms on a wide range of regulatory, investigatory, and corporate governance matters, including the Sarbanes-Oxley Act and Dodd Frank compliance. We also advise on disclosure controls and procedures, composition and operation of boards of directors and committees, analysis of conflicts of interest, and fiduciary duties of directors– and provide compliance support to Chief Compliance Officers in every element of their mandate.

Internal investigations can be a critical means for businesses to uncover and address potential misconduct issues, deter regulatory intervention, and limit a company’s exposure to lawsuits.

With extensive experience in internal investigations, our team regularly provides guidance on corporate compliance and governance issues related to the Sarbanes-Oxley Act, Dodd-Frank Act, SEC regulations, internal controls and accounting, and whistleblower allegations. No matter what we’re brought in to help with, our goal is the same: to provide advice and solutions that help you protect your business and minimize or mitigate risk.

Our team offers counseling, management, and defense in SEC examinations and enforcement matters, representing corporate and individual clients in matters involving allegations of:

• Securities fraud
• Misleading or inadequate financial disclosure
• Internal control, accounting, and record-keeping deficiencies
• Auditor independence issues
• Insider trading
• Market manipulation
• Unregistered securities offerings
• Foreign Corrupt Practices Act violations
• Improper broker-dealer practices
• Mutual fund sales practices
• Violations of the Investment Company Act of 1940 or Investment Advisers Act of 1940
• Aiding and abetting liability
• Privacy law breaches (GLB, Reg. S-P, state privacy laws applicable ot the securities industry)

We take pride in meeting all your asset management and securities needs—and doing so in the way that’s best for you and your company.