Digital and Innovative Markets

Regulatory Compliance and Policy

• Advising on the adoption of innovative technologies to enhance regulatory compliance.
• Advising on compliance with federal securities, commodities and derivatives laws, including the Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, Investment Advisers Act of 1940, and Investment Company Act of 1940 and their associated rules and regulations.
• Assisting clients in developing and bringing compliant securities and derivatives products to market.
• Navigating various registration requirements for market participants for the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the Financial Crimes Enforcement Network (FinCEN), the Internal Revenue Service (IRS) and state regulators.
• Developing and executing effective regulatory advocacy strategies, including engaging with agencies such as the SEC and CFTC, as well as with Congress and the executive branch, on policy proposals and objectives.
• Crafting no-action letters, comment letters, rule proposals, exemptive relief requests and other regulatory requests to secure clarity and ensure compliance.
• Advising on Bank Secrecy Act compliance, including the development of anti-money laundering (AML) programs and Money Services Business licenses for entities operating in both traditional and digital financial markets.
• Providing guidance on anti-corruption compliance, including risk assessments, policies and practices to prevent violations of the Foreign Corrupt Practices Act (FCPA) and other global anti-corruption laws.

 

Investigations, Enforcement and Litigation

•  Conducting internal and independent investigations to identify and address compliance risks, allegations of misconduct and whistleblower complaints.
• Representing clients in regulatory inquiries, including those by the SEC, the CFTC, FINRA, the National Futures Association (NFA), FinCEN, the IRS, the Department of Justice (DOJ) and the Federal Bureau of Investigation (FBI).
• Defending clients in government investigations and enforcement actions, including those by the SEC, the CFTC, FINRA, the NFA, FinCEN, the IRS, the DOJ and the FBI.
• Advising clients on self-reporting, cooperation with regulators and remediation efforts.
• Representing clients in civil litigation related to securities, commodities, derivatives and crypto markets.
• Advising clients facing the nuanced process of congressional investigations, including preparing responses to letters, hearing preparation and crafting effective strategies for testimony before lawmakers.

 

Business and Transactions

•  Advising on entity structure and formation, particularly for businesses operating at the intersection of traditional and digital markets.
• Counseling clients in adopting innovative financial technologies, including distributed ledger technology and artificial intelligence.
• Advising on development and deployment of blockchain-based networks and associated protocols, including the issuance of digital assets and token generation events.
• Providing legal counsel for, and related to, ecosystem participants.
• Providing legal support for mergers, acquisitions and joint ventures in both traditional financial and digital markets.
• Drafting and negotiating contracts for crypto ecosystem and financial market participants.
• Supporting capital-raising efforts, including those involving digital assets, and exempt (Regulations D, A+, CF and S) and registered securities offerings.
• Serving as outside general counsel for clients engaged in both traditional finance and digital markets, providing holistic legal services across sectors.
• Conducting due diligence on AML and anti-corruption risks in business transactions.