Outside General Counsel Services
Reg D / Private Placements
Our SEC enforcement and government investigations practice gives us valuable insight into the mindset and strategies of state and federal regulators. We see the many ways in which individuals and businesses can get ensnared in costly investigations. This puts us in a stronger position to advise businesses proactively on how best to implement policies and procedures that will result in actual, rubber-hits-the-road compliance. This is further reinforced by our business advisory services practice, which keeps us in-tune and up-to-date with the many challenges businesses are dealing with – from capital raising to corporate governance to complex transactions, investor relations, data and cyber security, and other structural and operational demands. We then pour that business knowledge back into our government investigations practice, resulting in better, more tailored strategies and solutions for our clients.
SEC Enforcement Actions
State & Federal Regulators
Dept. of Justice / FBI
Federal Trade Commission
Consumer Financial Protection Bureau
Crisis Management and Response
Risk Analysis & Compliance Audits
Foreign Corrupt Practices Act (FCPA)
Data & Cyber Security
Office of Foreign Asset Control (OFAC)
Anti-Fraud / Anti-Money Laundering
Broker-Dealers & Investment Advisors
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