Davis Polk’s securities enforcement practice is a leader in the field, representing the world’s foremost financial institutions, accounting firms and corporations in their most significant investigations and enforcement actions.
We offer integrated teams of leading lawyers across multiple disciplines to advise clients on the full range of government enforcement, investigations and advisory matters, including those associated with anti-corruption laws, economic sanctions, anti-money laundering and anti-terrorist financing laws, insider-trading and accounting irregularities matters related to financial fraud.
We provide a world-class combination of financial regulatory and transactional advice to our clients and are highly respected throughout the securities industry and by securities regulators, both in the United States and internationally.
We routinely advise broker-dealers and other financial institutions in connection with SEC, CFTC and FINRA inquiries.
We also provide a full range of services in connection with insider trading, from real-time advice to active traders, including hedge funds, to the design of compliance programs and representation of those involved in internal investigations.
Many of our current and former lawyers have held prominent positions with the relevant law enforcement agencies and financial regulators, including the Securities Exchange Commission (SEC), Department of Justice (DOJ), U.S. Treasury, Federal Deposit Insurance Corporation (FDIC), U.S. Office of Foreign Assets Control (OFAC) and U.S. Commodity Futures Trading Commission (CFTC).