Operational Advice

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Overview

RK&O serves as trusted counsel to clients as they address the full range of compliance issues in their businesses, from cross-border regulation to debt and derivatives trading. Our firm includes former regulators at the SEC and other government organizations, and we draw on this experience to help our clients remain compliant with the increasingly complex regulations and standards. 

ADVISER COMPLIANCE ADVICE

We assist funds in navigating fiduciary duty principles through identifying, disclosing and mitigating conflicts of interest, and in mapping risks and otherwise discharging their supervisory and compliance responsibility.

Clients turn to RK&O for sophisticated compliance counsel when navigating an SEC registration and on their day-to-day operations. We also regularly assist our SEC-registered adviser clients with SEC sweeps and advise on compliance reviews and mock audits.

CROSS-BORDER REGULATION AND COMPLIANCE ADVICE

We frequently guide our clients through complex cross-border matters that draw the regulatory and enforcement interest of foreign securities regulators and jurisdictions.

DISTRESSED DEBT TRADING AND COMPLIANCE ADVICE

With one of the world’s largest and most experienced teams dedicated to trading in the secondary debt market, our recognized experience with cross-border issues and our securities regulation and compliance expertise makes us a go-to firm.

FCPA AND ANTI-MONEY LAUNDERING COMPLIANCE ADVICE

Our robust FCPA and AML practices include conducting risk analysis and due diligence in the context of cross-border investments and joint ventures. The practice also encompasses compliance counseling and enforcement.

DERIVATIVES TRADING ADVICE

We understand the complex legal and regulatory regimes governing securities, derivatives (including credit derivatives) and special situations claims investments and stay abreast of new and evolving structure and trading innovations, as well as regulatory changes affecting the securities and derivatives markets. 

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