Working closely with the our business attorneys, particularly those in our Investment Funds and Advisers practice, members of the Securities Enforcement Defense Group draw on their experience in enforcement actions, and with the agencies involved, to help clients avoid regulatory problems before they begin. In addition to counseling clients on the broad array of enforcement issues under federal and state securities laws and Self Regulatory Organization rules, the Group’s attorneys conduct internal investigations for companies and boards, and assist clients in responding to regulatory inspections of broker-dealers and investment advisers.
