Securities: Regulation: Enforcement

About

Provided by Dechert LLP

Serving as outside counsel to many public companies, Dechert’s lawyers know the complex regulatory environment in which public companies and investment banks operate. Dechert advises on:

• Regulatory and compliance matters under the U.S. Securities and Exchange Commission (SEC), U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA)
• Compliance matters under the Financial Conduct Authority (FCA) in the United Kingdom, the UK Listing Authority (UKLA) and the London Stock Exchange as well as the regulatory authorities in leading financial centers.
• Disclosure matters related to reporting obligations and securities offerings under the U.S. Securities Act of 1933 and the U.S. Securities Exchange Act of 1934
• Investment Company Act of 1940 and the Investment Advisers Act of 1940 matters for investment companies, advisers and broker-dealers
• Coordinating among the regulatory regimes in cross-border transactions
• Our team, which includes many former SEC regulators, creates compliance programs and conducts mock inspections and examinations for regulated entities. We also help clients develop codes of ethics and policies and procedures for records management, insider trading and other areas.