B I G L A W
T A L E N T
B O U T I Q U E
V A L U E
We defend companies and individuals in connection with investigations brought by U.S. financial regulators, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), New York Stock Exchange (NYSE), state regulators, and self-regulatory organizations (SROs).
These representations often remain non-public due to successful resolution without any action against our clients. Alternatively, when regulators or law enforcement are determined to bring an action, we are highly experienced in negotiating favorable resolutions or in effectively litigating the case, as circumstances warrant.
We provide proactive regulatory counseling to public companies and financial institutions concerning disclosure requirements, internal controls, insider trading, anti-money laundering (AML), know your customer (KYC), anti-bribery, suspicious activity monitoring, cybersecurity, data privacy, conflicts of interest, risk management, and all manner of corporate governance concerns.
This practice routinely involves hands-on assistance with designing and testing compliance policies and procedures, developing and implementing corporate ethics programs, preparing for and responding to regulatory examinations, conducting internal audits and investigations, and assessing new or differentiated products with respect to both regulatory and market risk. We closely monitor regulatory trends, enforcement actions, and new rule-making to assure our clients remain in compliance.
In cases where concerns around corporate governance, executive-level fraud, or other serious issues arise, maintaining independence and integrity is crucial. We conduct rigorous investigations that prioritize the corporation's best interests, reporting directly to external bodies such as a subcommittee of the board, typically the audit committee.
Our approach ensures that we not only uncover the truth but also help navigate collateral investigations, respond effectively to government agencies, and make appropriate disclosures. Whether the investigation reveals a problem or not, we are adept at communicating the findings in a manner that mitigates risk, preserves the company’s reputation, and minimizes disruption to the business.
When the government initiates contact, it is essential to address their inquiries with utmost seriousness. We conduct thorough internal investigations for corporations, their officers, and their boards, focusing on complex issues such as potential violations of anti-corruption laws like the Foreign Corrupt Practices Act (FCPA), the False Claims Act, securities and trading laws, and other regulatory compliance matters.
Such investigations generally address concerns related to fiduciary duties, corporate governance, shareholder relations, and compliance with key statutes including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act. Depending on the investigation's size and scope, we conduct targeted reviews or extensive analyses, including forensic accounting and comprehensive interviews.
We assist our clients to reduce their regulatory risk by navigating the complex interrelated regulations in a pragmatic way. We maintain active dialogues with regulators and industry bodies, ensuring our clients stay ahead of evolving requirements.
From launching new financial products and businesses to daily compliance, internal investigations, and defending against enforcement actions, we provide comprehensive regulatory advice. Our expertise covers banks, investment advisers, funds, broker-dealers and other market participants.
In the rapidly evolving sectors of blockchain, fintech, and digital assets, Anderson P.C. delivers highly specialized legal services designed to address the sector’s unique and complex challenges. We guide clients through intricate regulatory environments, ensuring compliance while fostering innovation.
Our expertise spans key areas including:
Digital Currencies and Blockchain Technology: Providing counsel on regulatory issues related to the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. We also address compliance with emerging regulations from the Financial Crimes Enforcement Network (FinCEN), the Commodity Futures Trading Commission (CFTC), and the Federal Trade Commission (FTC).
Smart Contracts: Advising on the legal enforceability of smart contracts and their integration with existing contract laws, ensuring they operate within traditional legal frameworks.
Token Classification and Regulation: Determining the classification of tokens as securities, commodities, or other asset types, and ensuring adherence to the corresponding regulatory requirements set by bodies such as the Securities and Exchange Commission (SEC) and CFTC.
AML/KYC: We also provide strategic guidance on anti-money laundering (AML) and know-your-customer (KYC) requirements, the structuring of blockchain-based projects, and defense against regulatory scrutiny and enforcement actions.
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