CORIN SWIFT is a partner in Sidley’s Securities Enforcement and Regulatory group, which received the 2019 Chambers USA award for “Financial Services Regulation,” and was named “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. She has extensive experience representing broker-dealers, investment advisers and other financial institutions in both internal and external investigations and enforcement proceedings. She also represents individuals, financial institutions, and public companies before regulators, including the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA) and state securities enforcement authorities. Much of her work involves defending clients facing multijurisdictional and overlapping investigations. She has appeared in state and federal court, as well as FINRA arbitration proceedings on behalf of her clients.
Current and recent matters include:
- Insider Trading: Representation of individuals in SEC investigations relating to insider trading.
- Mark-Ups and Disclosure: Representation of investment advisers and broker-dealers in SEC investigations relating to cross-trades, mark-ups and disclosure.
- Representation of a financial institution in connection with an SEC and FINRA investigation of fixed-income pricing and disclosures.
- Sales Practice: Representation of individuals and broker-dealers in various sales practice investigations and coordinated sweeps by state agencies. Representation of financial institutions and individuals in connection with sales practice investigations and proceedings by the Massachusetts Securities Division.
- Registration: Coordination of mass transfer of registered representative state registrations. Representation of individuals and financial institutions in connection with regulatory inquiries relating to state registration, Central Registration Depository filings and disclosure.
- Regulation BI/Fiduciary Duty: Representation of a financial institution in connection with an SEC investigation relating to disclosure. Counseling relating to Regulation BI, Form CRS, and state fiduciary rules and proposals.
- In addition to regulatory investigation and enforcement matters, Corin has also handled related internal investigations, and she routinely provides advice to broker-dealers and registered investment advisers on compliance and supervisory systems.
Corin has been recognized as “Lawyer of the Year” in 2018 and 2015 in Securities Regulation and is listed as a “Best Lawyer” in Securities/Capital Markets Law (2014–2020) in The Best Lawyers in America.