People

James E. Anderson

Partner

Chair, Investment Management Practice Group

Anderson, James E.

James Anderson's practice covers the entire range of securities regulation. He advises a wide variety of clients, including investment advisers, hedge funds, mutual funds, banks and broker-dealers. Prior to joining the firm he served as a Staff Attorney in the Office of Investment Company Regulation of the Division of Investment Management in the US Securities and Exchange Commission. Mr. Anderson is chair of the Investment Management Practice.

Mr. Anderson 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.

Honors & Awards

  • Recognized as a nationwide leader in the investment funds field in the 2005-2013 editions of Chambers USA: America's Leading Lawyers for Business
  • Selected by his peers for inclusion in The Best Lawyers in America in 2008, 2009, 2010, 2013 and 2014 in the area of mutual funds law  
  • Recognized by his peers as a leader in his field in Legal Media Group's Capital Markets Lawyers

Publications & News

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August 15, 2013

Best Lawyers in America® 2014 Recognizes Nearly 100 WilmerHale Partners, Naming Eight “Lawyer of the Year”

Nearly 100 WilmerHale lawyers have been selected for inclusion in the 20th edition of The Best Lawyers in America®—a respected peer-review publication in the legal industry. The 2014 list also highlights eight WilmerHale partners who have been named "Lawyer of the Year" by Best Lawyers.

August 6, 2013

The Hedge Fund Law Report Covers WilmerHale, Deloitte Webinar “Valuation Issues, SEC Examinations & Enforcement Actions”

On June 19, 2013, WilmerHale and Deloitte hosted a webinar entitled “Valuation Issues, SEC Examinations & Enforcement Actions.”

May 24, 2013

Chambers USA 2013 Final Results Announced

Chambers USA: America's Leading Lawyers for Business today announced its final rankings for the 2013 edition, in which 93 WilmerHale lawyers and 44 firm practice areas have been recognized as leading in their field.

June 7, 2012

Chambers USA 2012 Final Results Announced

March 30, 2012

Chambers USA 2012 Preliminary Results Announced

February 17, 2012

CFTC Adopts Final Rules on CPO Registration and Compliance

March 15, 2011

Chambers USA 2011 Preliminary Results Announced

December 1, 2010

SEC Proposes Rules to Implement Exemptions to Registration Under the Investment Advisers Act and Make Other Changes to Registration and Reporting Requirements

June 11, 2010

Chambers USA 2010 Reveals Final Results Ranking 101 WilmerHale Lawyers and Dozens of Practices

March 18, 2010

Chambers USA 2010 Honors WilmerHale, Ranking Over 100 Lawyers and Dozens of Practices

Recent Highlights

  • Retained by an investment adviser to seek an order from the SEC exempting the adviser from the two-year prohibition on compensation imposed by Advisers Act Rule 206(4)-5(a) following a prohibited contribution to a political candidate by one of the adviser’s employees.
  • Retained by a family office to seek 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.
  • Retained by 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.
  • Retained by a broker-dealer/investment adviser to represent it in connection with a FINRA investigation of its email retention and recordkeeping.
  • Retained by a broker-dealer/investment adviser to represent it in connection with a FINRA investigation of its leveraged ETF and mutual fund sales practices.
  • Retained by a broker-dealer/investment adviser to represent it in connection with a FINRA investigation of unauthorized outside business activities by a registered representative.
  • Retained by a hedge fund adviser to coordinate a multi-national internal review of alleged improper trading activities in connection with a corporate takeover.

Practices

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Education

JD, magna cum laude, Brigham Young University, J. Reuben Clark Law School, 1992, Order of the Coif, Lead Articles Editor, BYU Law Review

BA, University of Utah, 1988

Bar Admissions

District of Columbia