James E. Anderson is a partner in the Asset Management Group in the Washington, D.C. office. His practice covers the entire range of securities regulation and he advises a wide variety of clients, including investment advisers, hedge funds, private equity funds, mutual funds, banks and broker-dealers.
Jim has worked on the following recent matters*:
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An investment adviser seeking an order from the SEC exempting the adviser from the two-year prohibition on compensation imposed by Investment Advisers Act of 1940 Rule 206(4)-5(a) following a prohibited contribution to a political candidate by one of the adviser’s employees.
- A family office seeking an order from the SEC exempting the family office from registration as an investment adviser so that the family office can continue to provide services to a long-time client who is not a “family client” under Advisers Act Rule 202(a)(11)(G)-1.
- Investment advisers whose affiliates have settled mortgage-related cases with various state and federal regulatory authorities to obtain orders from the SEC exempting the investment advisers from the automatic disqualification provisions of Section 9 of the Investment Company Act of 1940.
- Representing a broker-dealer/investment adviser in a FINRA investigation of its email retention and recordkeeping.
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Representing a broker-dealer/investment adviser in a FINRA investigation of its leveraged ETF and mutual fund sales practices.
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Representing a broker-dealer/investment adviser in a FINRA investigation of unauthorized outside business activities by a registered representative.
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Coordinating on behalf of a hedge fund a multinational internal review of alleged improper trading activities in connection with a corporate takeover.
*Jim advised on some of these matters at his previous firm.
Prior to joining Willkie, Jim was a partner at WilmerHale, where he served as Chair of the Investment Management Practice, among other roles. Early in his career, he served as a Staff Attorney in the SEC’s Office of Investment Company Regulation of the Division of Investment Management.
Jim has been recognized as a nationwide leader in the area of investment funds by Chambers USA (2005-2014, 2017 and 2019-2021), including being ranked in Band 1 for Investment Funds: Regulatory & Compliance in 2011. Additionally, he was selected by his peers for inclusion in Best Lawyers in America in 2008-2010 and 2013-2017 in the area of mutual funds law, and has also been recognized by his peers as a leader in his field in Legal Media Group's Capital Markets Lawyers.