Most investment advisers, broker-dealers, public companies, and other financial firms will at some point become involved in inquiries by the SEC, along with other agencies and self-regulatory organizations including DOJ, FINRA, PCAOB, FCA, or state attorneys general or securities commissioners.
Successfully navigating the complex legal, factual and practical nuances of these matters requires lawyers who possess deep understanding of the securities laws, rules and regulations, the enforcement agencies, and the business considerations that necessarily guide any response to a securities enforcement matter.
With more than 100 years of combined experience at the highest levels of the SEC, Debevoise has an unparalleled, comprehensive understanding of the SEC’s enforcement and examination programs. Our deep experience gives clients a significant advantage in the face of regulatory scrutiny across a broad range of securities-related enforcement, examination, and compliance issues. Debevoise is also highly experienced at successfully litigating matters against enforcement agencies if advocacy efforts fail and settlement is not possible.
Among many other issues, we have advised clients – in pre-regulatory/internal investigations, examinations, and high-stakes enforcement contexts – on a comprehensive range of matters involving private fund and other investment advisory issues, broker-dealer practices, financial reporting, accounting, insider trading, AML, FCPA, market manipulation, crypto-related issues, and cybersecurity.