Charu A. Chandrasekhar is a litigation partner based in the New York office and a member of the firm’s White Collar & Regulatory Defense and ...
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Cybersecurity and SEC Regulatory Counseling
- Compliance counseling for numerous public companies, investment advisers, and broker-dealers on the SEC’s proposed cybersecurity rules.
- Off-system communications regulatory compliance counseling, policy reviews, employee training, and remediation for numerous global asset managers, financial services firms, and public companies.
- A global private equity firm with SEC cybersecurity regulatory compliance counseling.
- 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 prominent broker-dealer on insider trading regulatory compliance.
SEC and DOJ Examinations and Enforcement Defense
- A broker-dealer and registered investment adviser in an SEC cybersecurity examination.
- A multinational financial services company in an SEC investigation into its broker-dealer sales practices.
- A global investment adviser in an SEC investigation regarding retention of employees’ work-related messages.
- A major investment bank in a group settlement with the SEC and CFTC regarding retention of employees’ work-related messages.
- A trading platform in an SEC investigation regarding registration matters.
- A prominent broker-dealer in FINRA and SEC AML and cybersecurity investigations.
- Ernst & Young in an SEC settlement regarding misconduct in relating to ethics and continuing professional education training.
- A financial services executive in SEC investigation concerning registration of securities offerings.
- A major university in responding to SEC and DOJ insider trading investigations.
- A prominent global hedge fund adviser in an SEC enforcement investigation involving fixed income best execution issues.
- A global consulting company in regulatory investigations concerning disclosure practices.
- Harvard Law School, J.D.
- Yale University, B.A.