Regulation & Compliance

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Overview

RK&O's regulatory attorneys bring experience directly from the Securities & Exchange Commission and the U.S. Attorney’s offices and other government organizations. All have a deep understanding of the regulatory landscape affecting the financial services and securities industries.

Richards Kibbe & Orbe’s regulatory attorneys are effective advocates in interactions with domestic and international regulators.  Our deep familiarity with the financial services industry and the regulatory environment in which it operates combined with the firm's cross-disciplinary experience in litigation, transactional and investigatory matters allow us to answer the novel questions that our innovative clients raise. We address issues head-on for our clients, while also looking around the corner to identify and plan for the business and legal risks. more +

Our practice is cross-border in nature, frequently requiring us to address issues across multiple jurisdictions.  On domestic engagements, we advise on a full range of matters, from the comprehensive to the particular. We regularly provide, for instance:

  • Multidimensional evaluations of contemplated mergers and acquisitions, including assessments of the target’s compliance processes and associated reputational and business risks.
  • Counsel on cross-border transactions, aiming for a single approach to regulatory issues that cross multiple jurisdictions.
  • Advice to investment funds on taking equity positions in U.S. public companies.
  • Advice on compliance with the Foreign Corrupt Practices Act, other anti-corruption legislation and anti-money laundering laws. 

Experience

  • Assisted numerous clients in developing a comprehensive, tailored approach to confidential information flow issues.
  • Worked with U.S. firms with worldwide operations to identify the regulatory consequences of their evolving businesses and to adopt procedures to limit risk.
  • Evaluated the quality, effectiveness and scalability of the compliance and risk management functions of an adviser with $10 billion under management, in which our client proposed to acquire a significant ownership interest.
  • Provided comprehensive counsel on the legal and business implications of Section 10(b) and Rule 10b-5, Section 13, Section 16, potential affiliate status, security resale restrictions, state anti-takeover laws, antitrust laws, Regulation M, REIT and other tax regulations and poison pills and restrictions related to hedging transactions for numerous investment funds contemplating purchases of equity positions in U.S. public companies.

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