Government Enforcement and Special Investigations
The Government Enforcement and Special Investigations practice at Vedder Price has a long history representing companies, boards of directors, board committees, executives and other individuals in a broad range of government and regulatory investigations, internal investigations, white collar criminal investigations and litigation. Our experienced team features attorneys who have served as prosecutors with the US Department of Justice, the Securities and Exchange Commission, other government agencies, and self-regulatory organizations.
We bring substantial resources to assist our clients facing governmental inquiries. We have the ability to mobilize quickly and to efficiently deploy the necessary resources to understand the potential issues and develop a well-thought-out defense strategy. We understand the financial and reputational stakes involved in these sensitive matters. One of our greatest strengths is working closely and credibly with the government to resolve its concerns before the commencement of an enforcement action or prosecution. However, when the situation demands, we vigorously defend enforcement actions and criminal prosecutions, drawing on the deep resources of the firm to effectively represent our clients.
We are frequently retained by boards of directors and board committees to conduct internal investigations into allegations raised by government agencies and whistleblowers. We advise corporate clients regarding the establishment and implementation of compliance programs, and we promote proactive and early remediation to maximize benefits to the company and enhance the possibility of receiving cooperation credit from regulators and prosecutors. We are also on the leading edge of complex and challenging regulatory and compliance issues facing our clients such as the Foreign Corrupt Practices Act and Dodd-Frank Act.
Vedder Price attorneys have significant experience in the following areas:
Companies and Officers/Directors
We regularly represent companies and their officers and directors in connection with securities enforcement, white collar criminal investigations and internal investigations relating to alleged violations of federal securities laws, corporate misconduct and whistleblower allegations. Our attorneys have experience in a broad range of matters, including:
- Financial fraud, accounting irregularities and restated financial statements
- Corporate disclosures
- Officer and director liability
- Whistleblower allegations and related investigations
- Corporate governance, internal controls and remediation
Our services in this area are augmented by the talents of our litigation team in the cases that are often filed as a result of the allegations.
Investment Advisers and Funds
Our Government Enforcement and Special Investigations attorneys have extensive experience defending enforcement proceedings and conducting internal investigations involving investment advisers, commodities trading advisers and investment companies. Our attorneys draw upon the deep technical experience of our nationally recognized Investment Services group in dealing with issues relating to the Investment Advisers and Investment Company Acts.
Hedge funds are currently a major investigative priority for federal regulators and prosecutors; the federal government continues to commit significant resources to investigate and prosecute conduct relating to hedge funds. Our Government Enforcement and Special Investigations attorneys are well equipped to deal with cutting-edge areas of the law impacting hedge funds.
Our attorneys regularly handle all aspects of regulatory examinations, investigations and proceedings involving investment advisers, investment companies, hedge funds and fund directors or trustees. Our attorneys have a broad range of experience in this area, including:
- Fraud arising under the Securities Exchange Act, Investment Advisers Act and Investment Company Act
- Conflicts of interest and disclosure
- Governance/compliance breakdowns and related remediation
- Board governance and oversight
- Matters relating to proper supervision
- Self-reporting to regulators
- Mock audits and internal investigations
Broker-Dealers
Our Government Enforcement and Special Investigations attorneys have defended broker-dealers in enforcement inquiries, investigations and proceedings initiated by the SEC, the DOJ, FINRA and other self-regulatory organizations and state agencies. Our attorneys also regularly provide guidance to broker-dealers on regulatory, compliance and operational issues, as well as conducting internal investigations and providing mock audit services to help proactively manage governmental scrutiny.
Accounting Firms
Our Government Enforcement and Special Investigations attorneys, complemented by the broad experience of our Accounting Law and Regulations practice group, provide our accounting professional clients with sophisticated, practical and cost-effective approaches to legal, regulatory and compliance issues. Our attorneys have extensive experience in representing accounting firms and professionals in compliance matters, investigations, and disciplinary and enforcement proceedings brought by the SEC, PCAOB, state licensing authorities and professional accounting associations. These skills have proven particularly valuable to accounting firms and professionals in this era of heightened scrutiny on the profession.
Financial Institutions
Vedder Price actively represents banking and savings institutions as well as other providers of financial services throughout the United States in a broad spectrum of matters. Our attorneys routinely represent and have deep experience representing financial institutions during inquiries by the SEC, FDIC, the DOJ and various other federal and state regulatory authorities. Our team’s experience is bolstered by the presence of our top-tier Financial Institutions group, whose members include former senior officials from a number of bank regulatory agencies.
Insider Trading
Insider trading regulation continues to be a very high priority of the SEC, the DOJ and other regulators. Our attorneys have handled a broad range of insider trading matters, including cases involving corporate disclosures, mergers and acquisitions, executive compensation and expert networks.
Foreign Corrupt Practices Act (FCPA)
Our Government Enforcement and Special Investigations attorneys have experience conducting investigations and representing clients in matters involving the FCPA. We also routinely counsel companies in connection with FCPA compliance programs and due diligence.
White Collar Criminal Defense
Although our primary objective will be to convince government authorities not to commence criminal proceedings, in the event of a criminal prosecution, we have former Assistant US Attorneys and experienced defense attorneys to represent companies and individuals throughout the trial and any necessary appellate proceedings.
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