Regulation is an increasingly important factor in the economy, impacting the structure of transactions and the way funds and companies operate. Compliance plays out in the public domain and businesses must adapt quickly to avoid the increasing and multi-faceted costs of non-compliance. 

We help our clients meet these increasing pressures with timely, practical advice, using teams that are small enough to be agile while large enough to encompass the necessary breadth and depth of regulatory experience on a global scale. We advise asset managers, including investment fund managers and sponsors, and other investors, as well as other investment advisers, investment companies, BDCs, REITs, public companies, underwriters, broker-dealers, other financial intermediaries, and other participants in the financial markets on significant and diverse regulatory, enforcement and compliance matters. This includes regulatory compliance with U.S. and European regulatory requirements (including advice on AIFMD, SFDR and MiFID), U.S. federal and state securities laws, anti-money laundering (AML) and Know Your Client (KYC) laws and regulations, HSR, CFIUS and international merger control and foreign investment compliance, privacy laws, GDPR, as well as handling government inquiries, investigations, and enforcement actions, and civil regulatory litigation.

Our team is well-versed in the rules of the SEC, FCA, ESMA, FINRA, CFTC and the NFA, stock exchange listing standards, and other agencies and self-regulatory organizations (SROs). We tackle the most complex cross-border regulatory matters when dealing with U.S. and EU regulatory, and U.S. federal and state regimes.

Our team includes former members of regulatory agencies, such as the SEC and DOJ, and others who have spent decades guiding clients in the private sector, all actively collaborating with each other and across our Firm, as well as working with various advocacy groups and trade organizations. We understand both agency interpretations and market practices, helping our clients chart a course through a rapidly evolving regulatory landscape.