Experience

• SEC and DOJ Examinations and Enforcement Defense

  • A global asset manager in an SEC exam focused on the impact of asset write downs on the management fee base in the post-commitment period that ended without a referral to the Division of Enforcement.
  • A prominent broker-dealer in a fee dispute involving a major trading venue in which we achieved a complete resolution for our client.
  • Ernst & Young in an SEC settlement regarding misconduct in relating to ethics and continuing professional education training.
  • A prominent global hedge fund adviser in an SEC enforcement settlement involving rule 21F-17 whistleblower protection issues.
  • Multiple audit professionals in SEC investigations that resulted in declinations from the government.
  • A major investment bank in a group settlement with the SEC and CFTC regarding retention of employees’ work-related messages.
  • A global investment adviser in an SEC investigation regarding retention of employees’ work-related messages.
  • The broker-dealer of a major investment bank in an SEC investigation involving MNPI policies and procedures.
  • A global hedge fund manager in an SEC investigation involving MNPI issues.
  • A major university in responding to SEC and DOJ insider trading investigations.
  • A global consulting company in regulatory investigations concerning disclosure practices.
  • A prominent broker-dealer in FINRA and SEC AML and cybersecurity investigations.
  • A multinational financial services company in an SEC investigation into its broker-dealer sales practices.
  • A financial services executive in SEC investigation concerning registration of securities offerings.
  • A trading platform in an SEC investigation regarding registration matters.
  • Off-system communications regulatory compliance counseling, policy reviews, employee training, and remediation for numerous global asset managers, financial services firms, and public companies.
  • A prominent broker-dealer on insider trading regulatory compliance.

• SEC Cybersecurity Regulatory Defense and Counseling

  • A large financial services firm and its broker-dealer and registered investment adviser in an SEC investigation involving cybersecurity policies and procedures.
  • A broker-dealer and registered investment adviser in an SEC cybersecurity examination.
  • A global asset manager in a cybersecurity internal investigation, SEC cybersecurity compliance counseling, and cybersecurity policy reviews.
  • Compliance counseling for numerous public companies, investment advisers, and broker-dealers on the SEC’s proposed cybersecurity rules.
  • A global private equity firm with ongoing regulatory compliance counseling and cybersecurity policy reviews.
  • A multinational technology firm with SEC cybersecurity regulatory compliance counseling and cybersecurity policy reviews.
  • A global private equity firm with SEC cybersecurity regulatory compliance counseling.
  • Multiple broker-dealers and investment advisers in Reg S-ID compliance and Identity Theft Prevention Program design.