Investigation, Regulatory Enforcement & Compliance

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 team includes former regulators, compliance officers, and enforcement practitioners from the SEC, CFTC, FCA, and leading financial institutions, providing authoritative and credible testimony across the full spectrum of regulatory proceedings.

SEDA serves law firms and financial institutions in two complementary capacities in regulatory matters. As expert witnesses, our experts provide testimony on regulatory standards, industry conduct norms, and the adequacy of compliance programmes in enforcement proceedings. As consultants, we guide institutions through supervisory engagement strategy, voluntary disclosure decisions, Wells Notice responses, and post-enforcement remediation — applying genuine regulatory authority to both the adversarial and advisory dimensions of complex compliance matters.