legal information
We provide a variety of legal knowledge and information, and inform you about legal procedures and response methods in each field.
Securities Regulations
Securities Enforcement matters require deep knowledge of complex financial systems and insider insight into regulatory processes. At SJKP LLP, our team includes seasoned professionals with former senior positions at the SEC, providing our clients with unmatched representation during high-stakes enforcement actions and investigations.
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1. Securities Regulations before Federal and Self-Regulatory Agencies
Securities & Futures Enforcement issues frequently involve multiple regulatory bodies, such as the SEC, DOJ, FINRA, CFTC, PCAOB, and state attorneys general. SJKP LLP defends clients in all stages—from informal inquiries to formal investigations and administrative or federal litigation.
Securities Regulations and SEC Investigations
We represent clients during Wells notices, subpoena compliance, document productions, and testimony under oath. Our strategic approach focuses on minimizing reputational harm and avoiding formal charges.
Securities Regulations and FINRA/CFTC Disputes
Our firm regularly handles enforcement actions arising from trading activity, market manipulation, spoofing, front running, and failures in supervisory systems. We defend clients in both administrative and civil forums.
2. Securities Regulations in Financial Reporting and Accounting Investigations
Securities & Futures Enforcement often centers around complex accounting rules and public disclosure issues. We advise public companies, executives, auditors, and audit committees on proactive compliance and enforcement defense.
Securities Regulations and Performance Reporting
Clients rely on us to defend against charges related to misleading investment performance advertising, marketing material, and public filings. We tailor defenses to investor protection rules and SEC’s advertising guidelines.
Securities Regulations and Auditor Liability
Our attorneys represent auditors and accounting firms under scrutiny by the PCAOB or SEC, including for independence issues, audit failures, or documentation deficiencies.
3. Securities Regulations in Insider Trading and Market Manipulation
Securities & Futures Enforcement actions for insider trading or market abuse are particularly sensitive and often criminal in nature. SJKP LLP provides aggressive, discreet defense using deep prosecutorial insight.
Securities Regulations and Whistleblower Allegations
We manage sensitive whistleblower complaints by balancing regulatory obligations with reputational concerns. We help companies conduct credible internal investigations to address allegations early and efficiently.
Securities Regulations and Criminal Exposure
Our team works alongside white-collar defense counsel to manage criminal referrals arising from SEC or CFTC investigations. We guide clients through grand jury proceedings and coordinate parallel investigations.
4. Securities Regulations and Preventative Compliance Strategies
Securities & Futures Enforcement risks can be reduced through proactive compliance frameworks. SJKP LLP assists clients in designing and auditing internal control systems, codes of ethics, and surveillance programs.
Securities Regulations and Compliance Training
We deliver board and employee training on SEC/FINRA/CFTC standards, with scenario-based modules and audit trails to reduce regulatory risk.
Securities Regulations and Internal Audit Support
Our attorneys support clients’ internal audit functions in preparing for regulatory exams and documenting best practices to reduce liability exposure.
The information provided in this article is for general informational purposes only and does not constitute legal advice. Reading or relying on the contents of this article does not create an attorney-client relationship with our firm. For advice regarding your specific situation, please consult a qualified attorney licensed in your jurisdiction.
