Companies in the highly regulated securities and financial industry face a host of complex problems. Financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. That is where Fox Rothschild’s Securities Industry practice group can help.
Our attorneys have handled hundreds of arbitrations, SEC, SRO, and state investigations. We represent financial institutions, registered broker-dealers, insurance companies, financial advisors, hedge funds and individuals in the securities, commodities and insurance industry, private and public, regulatory and governmental inquiries, investigations, and civil and criminal litigation. We also assist individuals and business entities in the establishment of broker-dealers, hedge funds, investment advisers and other financial service institutions.
Financial services firms face growing cybersecurity demands. We help clients comply with the comprehensive New York Department of Financial Services Cybersecurity Requirements for Financial Services Companies, including mandates regarding risk assessment, personnel, policy, breach notification and third-party service providers.
Fox attorneys have handled complex civil and criminal matters in state and federal courts. We have also helped resolve a variety of issues through alternative dispute resolution. We help our clients respond to requests from the SEC or other self-regulatory organizations and vigorously defend our clients from notice to trial or arbitration. When faced with regulatory matters – including SEC investigations, state securities investigations, and more – we have helped our clients achieve results quickly and cost-effectively. Working closely with our White Collar Compliance & Defense Practice, we offer a comprehensive defense against criminal matters as well.
The rise of digital currencies and blockchain has added a new layer of complexity. Our experienced securities attorneys guide clients through this rapidly changing, risk-laden financial and regulatory space. Fox represents companies using ICOs and SAFTs to fundraise, as well as clients that invest in digital currency and operate digital currency funds. We help investment services firms comply with OCIE examinations targeting digital currency investment, and ensure compliance with FinCEN, FINRA and Bank Secrecy Act regulations, including Know Your Customer (KYC), Anti-Money Laundering (AML) and data privacy requirements.