Sentences with phrase «regulatory investigations»

He also represents institutions and individuals in regulatory investigations regarding compliance with federal securities laws and the rules governing self - regulatory organizations.

Our approach involves applying the fundamental principles of effective legal practice to the context of regulatory investigations.

A lawyer may need to comply with regulatory investigations, and litigation disclosure, in a timely manner.

His practice concentrates in the areas of commercial, civil and white - collar criminal litigation, as well as regulatory investigations by state and federal agencies.

When facing regulatory investigations, seeking legal advice is a critical first step.

We have extensive experience counseling clients in «crisis» situations that include regulatory investigations, enforcement actions or congressional investigations which can garner high - profile media coverage.

They provide support during regulatory investigations regarding the applicable regulatory requirements and technical compliance criteria against which firms and individuals conduct will be assessed by the regulators.

Acting in various regulatory investigations and market reviews in the telecommunications and energy sectors.

She has significant experience representing accounting firms in lawsuits and regulatory investigations under the federal securities laws.

This would cover criminal investigations and most regulatory investigations, but not investigative inquiry tribunals.

Her main areas of focus are financial institutions disputes, international regulatory investigations and white collar matters but she also has broader commercial dispute resolution experience.

He is well versed in structured finance disputes and regulatory investigations across the wholesale and retail banking sectors.

To mitigate that risk, the solution comes back to the same steps organizations should be taking for compliance and to protect themselves against regulatory investigations.

His practice now focuses on the defence of a wide range of business, regulatory and general crime cases ranging from fraud and corruption to environmental crime and financial regulatory investigations.

He has advised multiple clients on data protection and privacy matters and has handled many regulatory investigations focused upon those issues.

Acting for directors who were the subject of financial services regulatory investigations in all aspects of the process.

We provide regulatory investigations and compliance counseling, litigation support, consumer protection counseling and business transaction assistance on a range of bitcoin and digital currency systems, services and products.

She also supports the employment aspects of internal and external regulatory investigations including the related disciplinary processes.

We are also able to support regulatory investigations and audits and provide you with experienced resource to help you manage large volumes of documentation.

Otherwise, this lack of training can put companies at risk of regulatory investigations and significant fines.

We advise clients in the M&A context, in regulatory investigations and litigation, and in private litigation.

We also advise clients on limiting their exposure to liability during regulatory investigations.

In addition to his sports law, insurance and investigations practice, he specialises in general commercial and financial services dispute resolution, international regulatory investigations and public and administrative law.

Advising companies and individuals on regulatory investigations in multiple jurisdictions in respect of market manipulation issues, including FX and LIBOR.

We represent clients involved in SEC, FBI and other regulatory investigations involving alleged securities fraud.

She regularly advises on compliance with regulatory legislation and provides support to corporations responding to regulatory investigations related to both domestic and international anticorruption matters.

We have represented clients in SEC, FBI and other regulatory investigations involving alleged securities fraud.

Lauma has also managed numerous white collar defence related internal and regulatory investigations for various international companies.

James has advised Magic Circle law firms in connection with a number of regulatory investigations concerning alleged breaches of conduct rules, conflicts of interest and confidential information.

We are seeing more complex regulatory investigations by the Solicitors Regulation Authority, and particularly where the actions of clients and introducers have become subject to investigation, for example in developer mortgage fraud.

November 2, 2015: Lisa C. Fong will speak on conducting regulatory investigations at the 2015 Canadian Regulators Conference by CNNAR (Canadian Network of National Associations of Regulators) in Vancouver, B.C. (see CNNAR's event page here).

We provided strategic advice to an investment bank in relation to the employment law and HR aspects of a cross-border regulatory investigation by global regulators including the FCA.

Over a quarter of UK respondents reported employing outside counsel to assist with regulatory investigations over the last year, compared to only 17 % in 2009.

Deutsche Bank on its settlements with the U.K.'s FCA and the U.S. DOJ, CFTC and New York DFS in relation to global regulatory investigations into the setting of interbank offered benchmark rates.

Christine Ely's practice focuses on securities enforcement, litigation, and regulatory matters, including internal corporate investigations and securities regulatory investigations,... Read More

My only worry is that now you've written up the evidence, the University will ignore it following the fashion of recent regulatory investigations of climate scientists.

Michael has worked for many years in the financial services sector and has extensive experience of complex multi-jurisdictional disputes and high profile regulatory investigations, including in relation to mis - selling, market conduct and regulatory disclosure issues.

The water company is looking to invite up to 10 candidates to compete for places on the new panel, which will handle regulatory investigations, class actions, High Court appeals, M&A and major projects — work that «goes beyond business as usual» due to «size, complexity or significance».

Successful representation of the lead audit partner of an international accounting firm in a state regulatory investigation involving a large, multi-national software company

It is on the panels of several major UK banks and also acts for a number of challenger banks, for which the team handles matters involving regulatory risk, contentious regulatory investigations and enforcement cases.

Martin has been involved in ediscovery for over 25 years, during which time he has managed and implemented large corporate workflow and document management systems, as well as advised clients on complex, large - scale, multi-jurisdictional litigation and regulatory investigation matters.

Mark your calendars November 2, 2015: Lisa C. Fong will speak on conducting regulatory investigations at the 2015 Canadian Regulators Conference by CNNAR (Canadian Network of National Associations of Regulators) in Vancouver, B.C. (see CNNAR's event page here).

An English - law qualified solicitor, Nicholas has experience in high - value commercial, financial services and professional negligence litigation as well as regulatory investigations.

She is highly respected and her experience and knowledge of white - collar crime, especially her expertise in complex FCA and CMA regulatory investigations, will be a valuable addition to our team.

we regularly act for financial institutions, both on the conduct of internal investigations where we report on suspected irregularities and on regulatory investigations where we advise and assist clients on response strategies.

We advise registered representatives and companies on FINRA conduct rules, including broker check disputes and Form U4 / U5 issues; defend companies and individuals in FINRA regulatory investigations and enforcement proceedings; represent companies and individuals in industry and customer disputes in the FINRA forum; and litigate cases arising under federal and state securities laws.

«This is the subject of ongoing regulatory investigation but our customers and shareholders should be in no doubt that we are taking it seriously.

Prior to the DFS, Vullo was a litigation partner at Paul, Weiss, Rifkind, Wharton & Garrison, where she led civil, criminal and regulatory investigations before courts and governmental authorities across the country.

Jennifer is a key member of the firm's regulatory law defence team and has substantial experience in advising clients undergoing regulatory investigation and of defending prosecutions against clients brought by a variety of enforcement authorities including Trading Standards, the Health & Safety Executive, the Environment Agency, utility providers and local planning authorities.