INVESTIGATION, REGULATORY ENFORCEMENT & COMPLIANCE

Practice Area

SEDA’s enforcement practice is comprised of senior executives at former global head of compliance at leading financial institutions, regulators, enforcement officers, and senior counsels at various agencies government agencies such as the Securities and Exchange Commission (SEC), Commodities and Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank (FRB), Federal Deposit Insurance Corporation, and with the Federal Housing Finance Agency.

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Our highly qualified experts offer consulting, independent opinions, and expert testimony for disputes involving regulatory and enforcement frameworks. We specialize in commercial and investment banking activities and a wide array of financial instruments, including securities, derivatives, fixed income, commodities, complex structured credit products, cryptocurrencies, and digital assets. Our expertise ensures compliance with industry standards and key regulations, such as Dodd-Frank, the Investment Company Act, and the Investment Adviser Act, among others, providing clients with insights grounded in current regulatory requirements and best practices.

Our expertise extends to broker-dealer compliance, with a focus on regulatory requirements and conduct in key areas such as mis-selling, client asset management, incentive structures, product governance, fair value pricing, and thorough internal bank audits across commercial and retail banking. This comprehensive approach ensures that our clients maintain robust compliance with industry standards and safeguard their operations across all banking activities.

EXPERTISE

Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Know Your Customer (KYC)

Specializing in Financial Crimes Risk Management, our team addresses complex challenges in fraud detection, anti-money laundering (AML) protocols, and financial misconduct. Our experts provide invaluable expertise in AML compliance, risk assessments, and litigation support. We address a broad spectrum of issues, ranging from corruption and tax evasion to market manipulation, illicit trade, terrorism financing, and efforts to conceal the illicit origins of funds.

Our experts provide authoritative guidance on BSA compliance, crucial for maintaining the integrity of financial systems. Our expertise embraces AML frameworks, Know Your Customer (KYC) procedures, and Currency Transaction Reports (CTR) compliance, offering both risk assessments and expert opinions for litigation support in BSA-related cases.

SEC and FINRA Enforcement & Compliance

We have decades of experience in disputes between investors and their brokers, investment advisors, and fund managers, including cases under FINRA arbitration. Our experts are former FINRA Chief Enforcement Officers, as well as former SEC Directors. SEDA’s former FINRA experts, have experience testifying before FINRA arbitration panels, as well as other venues such as Federal and State courts. Our former SEC experts have extensive experience with Investment Company Act (IC) and Investment Adviser Act (IA) as well as other securities enforcement issues.

Banking Regulation and Governance

Several SEDA’s experts are former FDIC and Federal Reserve senior officers and executives. Our experts were involved in the Financial Crisis response program, working closely with the U.S. Treasure and the Federal Reserve to stave off a funding crisis in the credit markets. Our expert Jason Cave, helped create the FDIC Debt Guaranty Program, providing $345 billion in emergency funding to over 120 firms at a net profit of $10 billion and testified on Capitol Hill on our success in winding down the program.

Our experts were also involved in the developing the FDIC’s post-crisis systemic risk and resolution framework, building the FDIC’s expertise in large bank risk management and readiness and were key contributors to various government reviews of the cause of the Global Financial Crisis, testifying on behalf of the FDIC in front of the Congressional Oversight Panel.

SEDA is well equipped to provide expertise involving housing market regulatory issues, including but not limited to agency mortgages, Fannie Mae, Freddie Mac, Federal Home Loan Banks supervision, residential and consumer finance, federal economic policies, among other. Our lead expert for this practice is Mark Calabria, former Director of the Federal Housing Finance Agency (FHFA). Our Expert, Jason Cave, also held leadership positions with the FHFA, advising two former FHFA appointed directors

CFTC Enforcement & Compliance

Our team is comprised of former CFTC commissioners and senior counsels. They offer extensive experience in the derivatives and commodities market and instruments, as well as in the digital assets space. Our experts are frequent speakers at SIFMA, FIA, American Bar Association, as well as other digital assets, cyber protection, and market oversight related panels and organizations.

PRACTICES

ALGORITHMIC AND ELECTRONIC TRADING

ASSET MANAGEMENT AND PORTFOLIO MANAGEMENT

CORPORATE GOVERNANCE & ESG

ENERGY AND COMMODITIES