Capital Markets Compliance and Disputes

Navigating Regulatory Investigations and Disputes

Secretariat’s testifying and consulting experts assist investment advisors, broker-dealers, and other securities market participants and their counsel in navigating regulatory investigations and disputes. We provide deep expertise in fraud detection, compliance obligations, risk management, and customary industry standards and practices.

With the regulatory landscape changing at an increasingly rapid pace, it is critical to engage experienced professionals in the early stages of an investigation or dispute. Our team has extensive knowledge of SEC, FINRA, DOJ, and other financial regulations. This expertise allows us to craft effective strategies for resolving investigative inquiries and disputes.

Comprehensive Capital Markets Compliance and Disputes Services

• Regulatory Compliance
  Advising on regulatory obligations, including supervision, internal controls, AML and compliance and risk programs.
• Fraud & Market Manipulation
  Detecting and analyzing trading and account activities that may violate securities laws and regulations.
• Standards of Care & Conflicts of Interest
  Supporting firms in navigating Reg BI, suitability standards, fiduciary obligations, and disclosure requirements.
• Financial Services Risk Management
  Developing risk mitigation strategies for regulatory investigations, litigation, and compliance programs.
• Complex Products & Digital Assets
  Consulting on enforcement actions related to digital assets, derivatives, and structured finance products.

Secretariat experts offer comprehensive litigation support, including discovery and damages analysis, and regulatory consulting to help clients proactively manage risks and effectively respond to enforcement actions.

Key Experts