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 2005-2014 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, 2014 and 2015 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

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