Regulatory Compliance

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We regularly counsel investment companies, investment advisers, distributors, and other service providers on compliance issues, examinations and inspections, both in the course of more general representations and as special counsel to investment companies or fund service providers on sensitive and/or significant compliance matters. In addition, we have assisted firms in preparing and revising their compliance programs and manuals, policies and procedures for federal securities law purposes, and have conducted compliance reviews and audits.

Our practice in this area reflects our geographic scope, with capability to assist in examinations, inspections, investigations and formal proceedings by the SEC and other U.S. federal and state financial regulators and self-regulatory organizations, the Financial Services Authority and professional disciplinary and company disqualification proceedings, DTI inquiries set up under the Companies Act of 1985 as well as judicial review proceedings, matters in continental Europe, and matters before the Hong Kong SFC.

Many of our lawyers have years of experience as regulators, and their experience allows us to anticipate, identify and address challenges before they become problems. Our lawyers have held key posts at:

  • UK Financial Services Authority
  • UK Personal Investment Authority
  • U.S. Securities and Exchange Commission
  • U.S. Financial Industry Regulatory Authority
  • U.S. Federal Home Loan Bank Board
  • U.S. Federal Savings and Loan Insurance Corporation
  • U.S. Office of the Comptroller of the Currency
  • U.S. Board of Governors of the Federal Reserve System

The depth and breadth of our practice gives us perspective and a distinct advantage, as we are able to draw upon prior experience with almost any issue to creatively achieve our clients’ goals.