Baker Botts is positioned to guide its clients through the SEC enforcement process. Our lawyers assist domestic and international companies with various matters including compliance and reporting obligations and regularly represent public corporations, broker-dealers and individuals in enforcement proceedings before the SEC. Our experience with all phases of the investigative process is considerable and includes testimony before the SEC, responding to subpoenas, preparing Wells submissions, and litigation against the SEC.
We defend SEC investigations in all areas of the securities regulation law, including, among other things:
- Corporate Communications
- Insider Trading
- Market Manipulation
- Mutual Fund & Hedge Fund Probes
- Sale of Unregistered Securities
- UK Bribery Act
- Global Anti-corruption
We have Securities Regulatory lawyers in all our domestic offices that practice before the SEC, state securities regulators and self-regulatory organizations. With a host of SEC alumni and an NASD (now FINRA) alumna resident in our Washington and New York offices, the firm provides an informed and sure-handed approach to advising clients on the issues that arise in the context of the federal securities laws and regulations.
Publications, Speeches & Presentations
Securities Litigation Update
How Fund Managers Can Maintain Work Product Protection During Investigations After the Herrera DecisionExternal Articles
20th Annual IA Compliance: The Full 360 Degree View East - Navigating the Shifting Landscape of IA Compliance
The conference will offer guidance on how to nimbly adjust your compliance program for this shifting regulatory arena so you can avoid embarrassing exam deficiencies and costly compliance missteps.