As asset managers face increasing scrutiny from federal, state and non-US regulators, it is critical to design and implement effective compliance programs, with policies and procedures that keep pace with evolving legal guidance and help you reduce risk. Our team has the skill and experience to represent you in a variety of legal, regulatory and compliance issues, and we can advise on best practices as you pursue your business objectives. We also have the ability to move quickly to defend your interests against legal actions when needed.
We partner with you to address any challenge, from creating custom compliance programs and in-house trainings to handling internal investigations into allegations of financial fraud, accounting irregularities and gender or racial discrimination. Drawing on years of experience in both private practice and government agencies, our litigators are also well positioned to defend you against the spectrum of securities regulatory and enforcement activity, including portfolio company disclosure questions, valuation disputes and employment-related issues. We also assist with parallel proceedings, private class actions and derivative litigation.
Our work with investment funds, their advisers and their boards of directors spans issues related to the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Dodd-Frank Act, the USA PATRIOT Act and beyond. In defending against enforcement actions, our understanding of the Securities and Exchange Commission (SEC)’s rules, practices and specialized units, along with our close working relationships within the Enforcement Division and Office of General Counsel, helps us deliver favorable outcomes.