Financial Services Litigation & Regulation
Strategic Discovery & Information Management
- Represented a company, which develops and markets an alternative energy source, in all aspects of their business operations in Asia.
- Represented an EB-5 regional center in an SEC investigation concerning foreign investments in a U.S. manufacturing firm.
- Assisted a biotech corporation with market access in East Asia, specifically Japan and Vietnam.
- Represented a specialty themed construction company in establishing both a corporate and manufacturing presence in East Asia to support the company’s book of business in theme park construction in the region.
- Advised a law firm interested in expanding their offices to East Asia to support and expand their clients with interests in the region.
- Assisted an accredited U.S. university looking to affiliate with a university in Vietnam.
- Advised a global financial services client regarding research policies and procedures.
- Served as Independent Examiner for a Swiss banking institution in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks.
- Represent banks, headquartered or doing business in, Italy, Spain, Switzerland and the United Kingdom.
- Represented a Canadian broker-dealer in U.S. regulatory matters.
- Served as Independent Consultant to a global financial institution to review and test its policies respecting compliance with Section 9(a) of the Investment Company Act arising out of the institution’s SEC settlement regarding its underwriting of securities.
- Served as defense counsel for a Swiss bank in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks.
- Represented a senior trader of a global bank in an SEC enforcement action alleging parking of securities.
- Represented a Canadian executive charged by the SEC in federal court with securities fraud and selling unregistered securities.
- Advised global advisory/corporate relations firm on anti-bribery policies and procedures.
- Served as defense counsel to the owner of Brazilian farming operations in connection with securities fraud action in federal court.
The stakes for ignoring the multinational focus on corruption are high. The above chart shows the exponential growth in U.S. fines for bribery of foreign government officials. Fines for inadequate anti-money laundering, know your customer, and sanctions programs have been growing as well. Two other areas of heightened focus in the coming year are Brexit and LIBOR. With the UK leaving the EU, companies who passported services through Europe via a London office are establishing new means for accessing EU customers. The imminent end of LIBOR h opened the door for new interbank reference lending rates, including SARON, SOFR, SONIA, TONAR, and ESTER. 2021 should be a very busy year for updating reference lending rates in countless loan and trading agreements.