James Anderson is a partner in the firm's Securities Department, and the chair of the Investment Management Practice Group. He joined the firm in 1994.
Prior to joining the firm, Mr. Anderson served as a Staff Attorney in the Office of Investment Company Regulation, Division of Investment Management, of the United States Securities and Exchange Commission.
Practice
Mr. Anderson advises a wide range of clients including investment advisers, hedge funds, mutual funds, banks, and broker-dealers. His work covers the entire range of securities regulation. He has advised investment advisers and investment companies in connection with purchase and sale of investment advisers and funds. In addition, he has advised investment advisers and hedge funds about various compliance matters (e.g., the development and implementation of compliance policies and procedures, mock examinations and other comprehensive reviews of compliance systems and procedures, investment adviser registration requirements). He also has represented investment advisers and hedge funds in various examination and enforcement-related inquiries by self-regulatory organizations and the SEC.
Recent Highlights
- Represented money market funds in connection with market turmoil and “break the buck” concerns, including obtaining SEC no action relief to support arrangements by sponsors.
- Advised money market funds concerning participation in US Treasury’s Temporary Money Market Fund guarantee program.
- Retained by hedge fund adviser with approximately 1,200 employees and investor capital in excess of $20 billion to register the adviser with the Securities and Exchange Commission, draft compliance policies and procedures to satisfy Advisers Act Rule 206(4)-7, and review compliance with existing policies and procedures.
- Retained by investment adviser to a registered investment company to handle SEC enforcement investigation involving the retention of service providers affiliated with the investment adviser.
- Retained by hedge fund adviser to coordinate multi-national internal review of alleged improper trading activities in connection with a corporate takeover.
- Retained by broker-dealer/investment adviser with over 10,000 registered representatives to conduct a comprehensive review of the firm’s compliance program, including policies, procedures, systems, and implementation.
Honors and Awards
Publications
- Co-author, Investment Advisers: Law & Compliance, a leading treatise on investment adviser regulation
- Contributing author, Mutual Fund Regulation, a treatise on investment company regulation
