Securities Regulation

O’Melveny’s diverse team of lawyers has the experience, creativity, and practicality that provides clients with a competitive edge.

Clients benefit from the varied perspectives and experiences of O’Melveny’s lawyers, many of whom have served as in-house counsel, on corporate boards, and in senior roles at government agencies, such as the SEC, DOJ, and FinCen.

Public Companies

O’Melveny helps clients navigate SEC registration and financial reporting and disclosure requirements, implement effective compliance programs and corporate governance, and adapt existing practices to address emerging challenges and evolving regulations.

Asset Management/Investment Funds

Our team provides registered and unregistered investment adviser clients with advice concerning compliance with the Investment Advisers Act of 1940, SEC registration requirements, fulfilling fiduciary duties, developing and improving written policies, and identifying, mitigating, and disclosing conflicts of interest.  We also assist investment advisers with respect to political activities, including compliance with federal and state regulations covering pay-to-pay, campaign finance, lobbying and procurement activities, and gifts and entertainment.

Broker-Dealer

We advise investment banking clients concerning matters such as their obligations under the federal securities laws and the rules of FINRA and securities exchanges, developing and enhancing robust policies, procedures, and compliance programs (including anti-money laundering programs).

Examinations and Enforcement

We represent clients around the world facing civil, criminal, and regulatory investigations by the federal government, state attorneys general, and industry self-regulators, like FINRA and PCAOB. As investigations have become more international in scope, so has our practice. We regularly work with clients facing investigations in the US as well as in other countries.

O’Melveny is well-equipped to guide banks, public and private companies, private equity and venture capital firms, and executives through the challenges that accompany regulatory examinations, industry sweeps, and investigations. We have represented clients in investigations concerning a wide-array of topics, including financial reporting and accounting matters, the Sarbanes-Oxley Act of 2002 (SOX), insider trading, the Foreign Corrupt Practices Act (FCPA), electronic and algorithmic trading, “dark pools,” spoofing/layering, anti-money laundering (AML), manipulation, cryptocurrency, municipal securities, data quality issues, sales practices, and supervision.

What Sets Us Apart

• O’Melveny has the combination of deep trial experience and subject-matter expertise to fight enforcement actions and to negotiate favorable resolutions. Of course, our greatest successes – the closing of an action without enforcement action – usually are achieved without publicity.
• Our lawyers include a former senior member of the SEC’s Division of Enforcement and former federal prosecutors with specific and longstanding experience in criminal enforcement of the securities laws.
• With offices in the world’s leading financial and business centers, we have the resources and geographic reach to effectively respond to FCPA and other transnational investigations.