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Commodities & securities litigation and regulatory enforcement

We have a truly global practice in securities and commodities litigation and regulatory enforcement with a depth of resources across many key jurisdictions, including the USA, UK, Continental Europe, the Middle East and Hong Kong. Our regulatory enforcement, civil and criminal defense lawyers include many ex-SEC, DOJ, CFTC, FINRA and FCA personnel who work alongside a strong bench of compliance consultants to deliver a holistic advisory service to our clients in a variety of sectors, including banking and financial services, and commodities markets industries.

Experienced in commodities and securities, litigation and regulatory enforcement

We assist with regulatory compliance examinations, internal investigations and section 166 reviews, and defend our clients in regulatory enforcement investigations and litigation, class actions, arbitrations, criminal investigations and prosecutions, civil and administrative proceedings, trials and appeals. Our lawyers routinely defend clients in all manner of government and regulatory enforcement actions, including by the SEC, DOJ, FINRA, CFTC, CFPB, OFAC, FCA and PRA, U.S. Customs and IRS, as well as by derivatives exchanges like CME and ICE.

  • Alternative investments, including Regulation D investments and non-traded REITs
  • Market abuse, market manipulation and insider trading
  • Governance, systems and controls
  • Financial Crime and Money Laundering
  • Client Money and Client Assets
  • Mis-selling, including PPI
  • Books and records
  • Chief legal officer/chief compliance officer liability and senior management accountability
  • Commercial bribery/kickbacks
  • Consumer Credit Act
  • Financial reporting and accounting
  • Foreign Corrupt Practices Act (FCPA), including parallel investigations by foreign governments
  • Government contracts/procurement
  • FX, LIBOR and benchmarking
  • Disruptive Trading Practices
  • Sales practice issues (including churning and unauthorized trading)
  • Suitability Rule and Know Your Customer Rule
  • Supervision
  • Trading and derivatives/EMIR
  • Variable products
  • Mutual funds
  • Anti-Money Laundering
  • Advertising

Contact our commodities & securities litigation and regulatory enforcement law team

If you would like any further information or need advice on commodities, securities, litigation and regulatory enforcement law, please contact our legal team.

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