James E Anderson

James E. Anderson is a partner in the Asset Management Department and Chair of the Regulatory and Enforcement practice, in the Washington, D.C. office. His practice covers the entire range of securities regulation and he advises a wide variety of clients, including investment advisers, hedge funds, private equity funds, mutual funds, banks and broker-dealers.

Jim advises clients on a broad variety of matters. He has advised investment advisers and investment companies in the purchase and sale of investment advisers and funds. He has counseled investment advisers and hedge funds on compliance matters such as the development and implementation of compliance policies and procedures, mock examinations and other comprehensive reviews of compliance systems and procedures, and investment adviser registration requirements. A central component of his practice is representing investment advisers and hedge funds in examination and enforcement-related inquiries by self-regulatory organizations and the SEC. Jim advises investment advisers on compliance with Reg. S-P and the adoption of required policies and procedures to protect consumer financial information. He also advises investment advisers in connection with privacy breaches and related regulatory reporting and enforcement.