Faculty: Doug Davison

Davison 150 v2Doug Davison is a partner at Linklaters LLP. For more than 20 years, Doug has been advising individuals and entities in a broad range of internal investigations and enforcement proceedings in the U.S. involving the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and other federal, state and foreign agencies. He also advises clients about regulatory compliance, corporate governance and disclosure issues.

Doug previously served as counsel to former SEC Chairman Arthur Levitt. Prior to that, Doug served as a staff attorney and then branch chief of the SEC’s division of enforcement. While at the SEC, Doug supervised and conducted investigations to evaluate and enforce compliance with the federal securities laws. He also participated in the prosecution of civil, criminal and administrative actions.

Doug was selected as a leading attorney in the 2013-2017 editions of Chambers USA: America’s Leading Lawyers for Business. In 2013, Doug was named as one of Securities Docket’s inaugural “Enforcement 40”, a list of the 40 best and brightest individuals in the securities enforcement field.

Doug has advised clients in many investigations. These include advising:

  • global financial services companies in multiple regulatory investigations of potential money laundering, insider trading, supervision and other issues involving international and domestic clients
  • a global financial services firm in connection with regulatory inquiries regarding supervision of an employee who perpetrated a fraudulent investment scheme
  • a global financial services firm in an CFTC investigation of supervision of system for processing exchange and clearing fees
  • a U.S. energy construction and engineering company in an SEC investigation of revenue recognition practices
  • a global financial services firm and employees in regulatory investigations connected with derivatives trading, internal controls and disclosure issues involving the SEC, DOJ and CFTC
  • a global financial institution in an SEC investigation of Foreign Corrupt Practices Act (FCPA) issues arising from hiring practices
  • an individual in an SEC investigation into pension disclosures; no enforcement action taken
  • a foreign derivatives exchange in SEC investigation that resulted in a 21(a) report, rather than an enforcement action and civil penalty
  • numerous investment advisory firms and individuals in SEC insider trading inquiries in which no enforcement actions were taken

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Details

When: Thursday, November 1, 2018
7:00 am - 8:20 am (breakfast & registration)
8:20 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel
2800 Pennsylvania Avenue, NW
Washington, D.C. 20007
CLE Credit: 6.5 hours (pending in PA)

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