Securities: Regulation: Enforcement
USA Guide 2024 : USA - Nationwide
Band 3
Contact number
+1 215 994 4000About
Provided by Dechert LLP
Serving as outside counsel to many public companies, Dechert’s lawyers know the complex regulatory environment in which public companies and investment banks operate. Dechert advises on:
- Regulatory and compliance matters under the U.S. Securities and Exchange Commission (SEC), U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA)
- Compliance matters under the Financial Conduct Authority (FCA) in the United Kingdom, the UK Listing Authority (UKLA) and the London Stock Exchange as well as the regulatory authorities in leading financial centers.
- Disclosure matters related to reporting obligations and securities offerings under the U.S. Securities Act of 1933 and the U.S. Securities Exchange Act of 1934
- Investment Company Act of 1940 and the Investment Advisers Act of 1940 matters for investment companies, advisers and broker-dealers
- Coordinating among the regulatory regimes in cross-border transactions
- Our team, which includes many former SEC regulators, creates compliance programs and conducts mock inspections and examinations for regulated entities. We also help clients develop codes of ethics and policies and procedures for records management, insider trading and other areas.
Chambers Review
Dechert LLP is much admired for its strength in matters at the intersection of SEC enforcement and white-collar defense, particularly for senior individuals or independent boards of directors facing regulatory investigations. Often a go-to firm for asset management clients in particular, including investment and mutual funds. Adept at handling alleged insider trading cases. Regularly handles enforcement proceedings and investigations by FINRA and the CFTC, and remains active in FCPA matters.
Work Highlights
- Dechert LLP represented Icahn Enterprises in Southern District of New York and SEC investigations stemming from allegations raised by Hindenburg Research in two short sellers reports.
Strengths
Provided by Chambers
"The firm's service levels and responsiveness is excellent. The team understands complex issues really well."
"The team is incredibly knowledgeable in this area and is very plugged in."
"Dechert works closely with clients and takes creative approaches to problems."
"The firm's service levels and responsiveness is excellent. The team understands complex issues really well."
"The team is incredibly knowledgeable in this area and is very plugged in."
"Dechert works closely with clients and takes creative approaches to problems."
Notable Practitioners
Andrew Levander has a formidable reputation across the most complex of criminal, civil and regulatory proceedings. He is highly adept at matters involving allegations of FCPA violations, money laundering and accounting fraud, among others.