Compliance & Regulatory Matters
We advise clients in connection with complex compliance and regulatory concerns. We vigorously defend corporations and individuals, working both collaboratively to educate government bodies and to contest misimpressions to further our clients’ interests. We help clients develop and improve AML, BSA and other compliance programs to better protect them in the event of regulator inquiries.
Compliance & Regulatory Matters Experience:
Advocating on behalf of institutions and witnesses in various regulatory investigations conducted by the FDA, DFS, SEC, FINRA, and CFTC.
Representing individuals in institutional benchmark and rate swap investigations.
Securing a multi-million-dollar verdict in a federal civil trial on behalf of an investment professional in a securities-based commercial dispute.
Securing a de-listing for an individual subjected to sanctions by OFAC.
Negotiating the voluntary return of funds seized by the government on behalf of a corporate client.
Advising client regarding forfeiture and disgorgement issues arising out of investigation of hedge fund.
Providing instruction and training to corporate departments and investment banking professionals regarding compliance with insider trading, the FCPA, and other regulatory regimes.
Representing current and former employees of major financial institutions in sensitive internal investigations, criminal tax investigations, and regulatory investigations.
Designing and managing compliance program for hedge fund management company in connection with SEC registration as a Registered Investment Adviser.
Completing SEC filings on behalf of client.
Advising hedge fund on regulatory and compliance requirements during wind down and de-registration of hedge fund management company.