Print PDF Compliance Manuals and Training

Drawing on the Firm’s extraordinary depth in regulatory, enforcement and transactional matters, we work side-by-side with clients to devise and implement strong compliance regimes, best-practice enhancements and approaches to investments and trading situations that satisfy both regulatory requirements and business needs.  Our familiarity with current market practice helps us address the novel regulatory and trading issues our clients often confront.

We offer tailored advice on securities regulatory, trading and other compliance matters, with a particular emphasis on trading policies and procedures, information barrier arrangements, anti-money laundering policies and procedures, disclosure, corporate governance and Foreign Corrupt Practices Act compliance.  We design and conduct training programs that address these issues. We also offer real-time trading advice, drawing on our knowledge of Rule 10b-5, Rule 144, Section 13, Section 16, short-selling and other issues.  We help clients anticipate, manage and resolve emerging international financial regulatory and enforcement issues.

We base our advice on real-world experience, including extensive dealings with U.S. and international regulatory matters at the SEC and in private practice.  We work with clients to navigate cross-border regulatory issues, building on our partners’ involvement in the founding and early implementation of the SEC’s international enforcement and regulatory programs.  We draw on the Firm's experienced litigators and transactional lawyers – including some who have dealt with issues directly from the trading floor – to shape our regulatory and trading counsel and strategy.  This combination of strengths produces the comprehensive and workable advice our clients need.