Dechert LLP, Securities: Regulation

About

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

Provided by Chambers

Securities: Regulation: Enforcement - USA - Nationwide

Band 3

What the Team is Known For

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.

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Work Highlights

Provided by Dechert LLP

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."