Asset Management Compliance and Defense

Overview


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.

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Results


  • Representing the US subsidiary of a major international bank, and two of the US bank’s subsidiaries in an SEC investigation involving revenue sharing, share class and affiliated funds issues
  • Representing a Real Estate Private Equity Fund and key personnel in an SEC investigation focusing on whether any securities laws had been violated in connection with both ongoing investment-raising activity and the daily operation of the Fund
  • Represented investment firms in a number of separate matters involving an SEC investigation into potential insider trading by individuals associated with the firm, including sufficiency of the firm’s internal policies and procedures

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People


A diverse, global network of industry-leading talent committed to you and your vision.

Key Contacts


Caitlyn M. Campbell

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Paul M.G. Helms

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David K. Momborquette

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