Davis Polk’s securities enforcement practice – led by a former SEC Director of Enforcement and a former SEC Commissioner – is among the very best in the country. Our practice draws on the combined strength of our distinguished Trading and Markets and market-leading regulatory enforcement groups, providing clients with an integrated team of lawyers who are well-known and highly respected throughout the corporate world, within the securities industry and by market regulators and government officials, both in the United States and internationally.
Our team advises clients on the full range of government enforcement, investigations and advisory matters, including those associated with:
- Accounting irregularities
- Economic sanctions
- Financial reporting
- Foreign corrupt practices
- Insider trading
- Market manipulation and disruptions
- Money laundering and terrorist financing
- Regulatory compliance
- Trading policy and procedures
Many of our securities enforcement lawyers have had significant government experience. They bring a unique perspective and approach when counseling and advising clients across the spectrum of proceedings initiated by:
- Department of Justice (DOJ)
- Financial Industry Regulatory Authority (FINRA)
- Offices of State Attorneys General and District Attorneys
- Securities Exchange Commission (SEC)
- Self-Regulatory Organizations (SROs)
- U.K. Financial Conduct Authority (FCA)
- Securities and Futures Commission of Hong Kong (SFC)
- U.S. Commodity Futures Trading Commission (CFTC)
Our securities enforcement group works closely with our regulatory enforcement and white collar criminal defense practices to provide clients with a multidisciplinary approach to criminal, civil and regulatory matters.