Securities Regulatory and Trading Advice
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 regulations and trading situations that satisfy both regulatory requirements and business needs. We have the expertise to advise clients on market practice, and we draw on that expertise when we address, with our clients, any novel regulatory or trading issues they confront.
We offer tailored advice on securities regulatory, trading, and 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 expertise in Rule 10b-5, Rule 144, Section 13, Section 16 and securities shorting issues, among others, and we assist clients in public and private securities resale transactions. For international transactions, we help clients anticipate, navigate, 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 experienced litigators and transactional lawyers at the firm – including some who have dealt with issues directly from the trading floor – to shape our regulatory and trading counsel and strategy. That combination of strengths produces the comprehensive and workable advice our highly experienced, highly responsive attorneys provide clients in every matter.
