Sidley lawyers have represented high-profile clients in every major investigation involving financial services firms over the past two decades. We have assisted clients in SEC, FINRA, CFTC and other state and federal investigations involving the origination and secondary market trading of mortgage-backed and other asset-backed securities; LIBOR and other index-related investigations; the creation and trading of ETFs; the issuance of ADRs; securities custody arrangements; AML compliance and reporting; trading in new issue municipal bonds; large retail sales practice matters; and blockchain and other fintech issues. Many of our lawyers are highly regarded alumni of the SEC, FINRA or other regulators, bringing their insights and deep experience to bear when advocating on behalf of our clients.
Law Firm of the Year for Securities Regulation
U.S. News ‒ Best Lawyers “Best Law Firms” Survey 2020 and 2017
Our lawyers assist clients by conducting internal investigations to uncover the facts needed to evaluate potential regulatory exposure. We then counsel our clients on any remedial, disciplinary and reporting steps that will put them in the best position when facing regulatory scrutiny.
Our enforcement prowess extends to the UK, where we have a leading practice representing clients in investigations conducted by the FCA. Led by a renowned former FSA prosecutor, the FCA’s predecessor, our team in London works closely with their U.S. colleagues to assist clients in complex, cross-border investigations by multiple regulators.
In both the U.S. and the UK, our lawyers have deep experience advising clients on responding to issues raised by whistleblowers in an effective manner mindful of the legal, regulatory and practical issues involved.
We help our regulated clients to evaluate the potential collateral consequences of entering into a regulatory settlement. Our lawyers advise on how to structure settlements to avoid or minimize such consequences, and assist our clients to obtain the necessary waivers or exemptive relief. We routinely advise our largest clients on the potential collateral consequences of all regulatory settlements, including settlements negotiated by other law firms.