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Sidley’s Securities Enforcement and Regulatory group counsels and defends clients involved in all aspects of the global capital markets, from major Wall Street firms and leading public companies to prominent investment advisers and senior executives. We defend our clients in investigations by the SEC, CFTC, DOJ, state attorneys general, the UK FCA, other federal and state civil regulators, and self-regulatory agencies such as FINRA and NYSE. We assist clients during regulatory examinations and conduct internal investigations of sensitive matters. We regularly advise our clients on a wide range of complex securities and commodities compliance-related matters, including structuring trades or complex derivative transactions and acquiring or disposing of regulated entities.

Financial Services Regulation Law Firm of the Year
Chambers USA 2019 and 2016

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In today’s shifting regulatory environment, we devote a significant amount of time and resources to understanding the impact of regulatory developments in the China region. Sidley has an extensive regulatory practice covering a wide range of transactional and advisory matters for financial institutions, companies, governments and trade associations.

We provide regulatory advice in the following areas:

  • industry-specific advice, both corporate and financial services regulatory;compliance matters including Anti-Money Laundering (AML), codes of conduct, conflicts, disclosure of interests;
  • privacy and data protection;
  • anti-corruption / Foreign Corrupt Practices Act (FCPA);
  • compliance training;
  • commercial lending issues;
  • licensing of individuals and entities; and
  • antitrust/competition.

From our three offices in China, our lawyers regularly work with our colleagues in the U.S. and the EU to advise clients on matters involving their regulatory and compliance risks, whether these involve Chinese regulators/regulations, such as MOFCOM, the Hong Kong Personal Data (Privacy) Ordinance and the State Administration of Industry and Commerce (SAIC), or those involved in cross-border matters, involving the FCPA, the U.S SEC and Department of Justice (DOJ) or the Financial Conduct Authority (FCA) in the UK.

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