Overview

Michael D. Mann established RK&O’s Washington, D.C. office in 1996. Mr. Mann’s legal practice focuses on international securities regulation and enforcement and the cross-border conduct of business. He provides strategic advice and counseling to clients engaged in business subject to regulation in the United States and throughout the world. He regularly represents public companies and their audit committees, officers and directors in connection with their compliance with U.S. regulatory requirements including the Dodd-Frank and Sarbanes-Oxley Acts.  more +

Mr. Mann has been nationally ranked  as a “Leading Individual” in the area of Securities Regulation in Chambers USA: America's Leading Lawyers for Business for eight consecutive years. He was also ranked by Chambers as a "Leading Individual" in Litigation: Securities from 2012 through 2016. The guide described him as one of the “wisest and most versatile tacticians” in complex securities regulatory and enforcement matters, and also as having "an excellent reputation for cross-border expertise in SEC enforcement matters." Those interviewed by Chambers noted that he is “valued for his unique perspective and for being assertive in an effective way for his clients.” Mr. Mann was also recognized in the area of Securities Law by The Best Lawyers in America®, which stated that he "is the kind of outside counsel most in-house lawyers seek: he is knowledgeable, responsive and provides his advice in a very calm and effective manner on a wide range of issues." 

Prior to entering private practice, Mr. Mann served for seven years as the first Director of the Office of International Affairs at the U.S. Securities and Exchange Commission. Mr. Mann established the key formal and informal relationships between the SEC and its foreign regulatory counterparts in the world’s most important developed and emerging markets. In particular, Mr. Mann negotiated formal understandings to facilitate cooperation on enforcement, regulation of cross-border trading activity, and the development of securities markets. These understandings continue to be the centerpiece of the SEC’s international enforcement efforts.

Mr. Mann also led the SEC’s development of new regulatory approaches to facilitate access to the U.S. securities markets through cross-border securities offerings. Moreover, Mr. Mann directed the SEC’s multilateral efforts to improve and harmonize regulation world-wide and to remove unnecessary barriers to trade.

Prior to becoming Director of the Office of International Affairs, Mr. Mann served as Associate Director in the SEC’s Division of Enforcement. While in the Division of Enforcement, Mr. Mann carried out investigations and litigation, with a particular emphasis on international matters. He acted as counsel for the Commission in SEC v. Levine, SEC v. Certain Unknown Purchasers (the “Santa Fe” case), and SEC v. Winans (the “Wall Street Journal” case), among others.

In 1993, Mr. Mann was awarded the rank of Distinguished Executive in the Senior Executive Service by President Clinton. In the fall of 1990, he was presented the Chairman’s Award for Excellence. In the fall of 1984, Mr. Mann received The Manual F. Cohen Outstanding SEC Younger Lawyer Award from The Federal Bar Association, Securities Law Committee.

Mr. Mann is a Member of the Council on Foreign Relations, the Board of Advisors to the Securities and Exchange Commission Historical Society and a Member of the Federal Bar Association / Securities Law Committee Executive Council. From 1994 to 2002, he was a member of the Hampshire College Board of Trustees. From 1999 to 2003, he served as the Chairman of the Securities Market Advisory Board of the Toronto International Leadership Centre for Financial Sector Supervision. Mr. Mann was a member of the Board of Directors of the Federation of American Scientists from 1998 to 2002.

Mr. Mann is admitted to practice in New York and the District of Columbia.

Experience

  • Audit and Governance Committees of Boards of Directors of U.S. and foreign private issuers in connection with allegations of violations of the U.S. securities laws.
  • Senior officers of U.S. and foreign issuers and hedge funds in connection with SEC investigations and regulatory inquiries in matters involving securities trading, accounting and disclosure, the operation and establishment of internal controls under the Sarbanes-Oxley Act and the application of the Foreign Corrupt Practices Act.
  • Hedge funds and financial institutions with on-going advice in connection with the development of comprehensive compliance programs to address regulatory obligations imposed by U.S. and foreign securities laws and regulations.

Honors & Awards

  • The Best Lawyers in America®: recognized in the areas of Corporate Compliance Law, Securities Litigation and Securities Regulation (2011-2015)
  • Chambers USA: America's Leading Lawyers for Business: nationally ranked as a “Leading Individual” and recommended in the area of Nationwide Securities Regulation: Enforcement (2009-2016) and in the area of Litigation: Securities (2012-2016).
  • The Legal 500 United States: recommended in the areas of Compliance and Securities Law, SEC Enforcement and Litigation: White Collar Criminal Defense (2009-2013, 2015, 2017). Comments made by clients surveyed include:
    • "Widely recognized as the 'go-to' lawyer for clients in the international financial services sector.
    • "Praised for his unparalleled command of the global regulatory environment...
    • "Recognized as a leader at advising clients in the international financial services sector.
  • The Washingtonian: Top Securities Lawyer, 2007, 2009, 2011
  • AV Preeminent Rated by Martindale-Hubbell, 2003-2016
  • Super Lawyer in the areas of Securities Litigation, International Law and Business/Corporate Law by Super Lawyers Magazine, 2006-2016
  • Distinguished Executive in the Senior Executive Service, awarded by President Clinton, 1993
  • Chairman’s Award for Excellence, Fall 1990
  • Manual F. Cohen Outstanding SEC Younger Lawyer Award from The Federal Bar Association, Securities Law Committee, Fall 1984

Professional & Community Affiliations

Member, Board of Advisors to the Securities and Exchange Commission Historical Society

Member, Council on Foreign Relations

Member, Hampshire College Board of Trustees, 1994 to 2002

Member, Securities Market Advisory Board of the Toronto International Leadership Centre for Financial Sector Supervision; Past Chairman, 1999 to 2003

Past Member, Board of Directors of the Federation of American Scientists, 1998 to 2002

News

Presentations

Publications