About Caroline J
Caroline focuses her paintings on white collar and government investigations, securities enforcement and counseling, and regulatory compliance. Caroline has experience representing large insurance companies, broker-dealers and different financial institutions, public and private businesses, and individuals in authorities investigations and court cases before administrative, legislative, and self-regulatory agencies consisting of the SEC and FINRA.
Caroline additionally helps expand and replace effective compliance and supervisory policies and approaches and has experience in drafting powerful Regulation SHO, Conflicts of Interest, and Customer Due Diligence rules, amongst other compliance strategies. Caroline in addition works with CFIUS, the Corporate Transparency Act and anti-cash laundering regulations, export-import controls and anti-boycott and anti-corruption regulations, and has experience supporting US groups navigating USTDA submissions, export controls, sanctions, and other regulatory controls.
Caroline also has experience representing issuers and broker-dealers in financings, capital markets transactions, preliminary public services, non-public placements, PIPEs, and funding fund matters, and advising clients on corporate governance and compliance with ongoing disclosure and other obligations below the federal securities laws.
Caroline is a felony fellow with the Massachusetts Export Center, supporting agencies with building and maintaining powerful export compliance applications and navigating sanctions, anti-boycott, anti-corruption, and different regulatory controls.
Caroline’s multifaceted background enables her successfully represent and counsel customers thru litigation, research, and regulatory demanding situations alike.
Caroline additionally helps expand and replace effective compliance and supervisory policies and approaches and has experience in drafting powerful Regulation SHO, Conflicts of Interest, and Customer Due Diligence rules, amongst other compliance strategies. Caroline in addition works with CFIUS, the Corporate Transparency Act and anti-cash laundering regulations, export-import controls and anti-boycott and anti-corruption regulations, and has experience supporting US groups navigating USTDA submissions, export controls, sanctions, and other regulatory controls.
Caroline also has experience representing issuers and broker-dealers in financings, capital markets transactions, preliminary public services, non-public placements, PIPEs, and funding fund matters, and advising clients on corporate governance and compliance with ongoing disclosure and other obligations below the federal securities laws.
Caroline is a felony fellow with the Massachusetts Export Center, supporting agencies with building and maintaining powerful export compliance applications and navigating sanctions, anti-boycott, anti-corruption, and different regulatory controls.
Caroline’s multifaceted background enables her successfully represent and counsel customers thru litigation, research, and regulatory demanding situations alike.