Regulatory
Our clients are innovators in the financial markets. They are constantly looking at new types of transactions and new ways of doing business. As a result, they frequently face novel regulatory issues and seek advice that addresses both what regulators have done before, but also how they may respond to a particular transaction or set of facts. Drawing on our extensive experience working on U.S. and international regulatory issues at the SEC and in private practice, we help our clients address regulatory and enforcement issues in the U.S. and abroad.
We provide wide-ranging advice on securities regulatory and compliance matters, with a particular emphasis on Rule 10b-5, anti-money laundering and Federal Corrupt Practices Act compliance. As advisors, we draw heavily on the firm’s extensive SEC experience, as well as our work in enforcement investigations and corporate transactions. For example, our litigators work closely with colleagues specializing in corporate transactions when advising hedge fund and private equity clients on federal securities law issues implicated by specific transactions and investment strategies in both the public and private markets.
We work with our hedge fund and broker-dealer clients to tailor compliance policies and procedures to address their unique circumstances. We also advise clients on best practice enhancements and help them develop specialized training programs. In the international context, we draw on our partners’ extensive experience as founders of the SEC’s international enforcement and regulatory programs to find innovative solutions to complicated cross-border issues.
