The Securities Enforcement & Investigations Practice Group at Mackrell International unites lawyers from across the globe who advise and defend clients facing scrutiny from regulatory bodies, enforcement agencies, and corporate governance authorities. Chaired by K. Braeden Anderson, Partner at Gesmer Updegrove LLP, the group brings together experienced counsel from multiple jurisdictions to deliver strategic, coordinated representation in the most complex regulatory and enforcement matters.
We recognise that regulatory inquiries involve not only legal exposure but also reputational and commercial risk. Across the Mackrell network, our member firms collaborate to help clients manage enforcement risk with clarity, agility and global reach. Our attorneys come from jurisdictions around the world. Together, we help clients navigate the complex and often fragmented landscape of global financial regulation, investigations, and market oversight. We collaborate seamlessly across jurisdictions to deliver consistent, practical advice to companies, financial institutions, investment advisers, fintech firms and exchanges, ensuring every client benefits from both local precision and a unified global perspective.
Our Mission
Connect member firms across continents to deliver sophisticated and consistent regulatory advice.
Exchange insights on enforcement trends, regulatory developments and jurisdiction-specific updates in real time.
Enable smaller and mid-sized firms to offer clients global reach through Mackrell’s integrated network.
Produce joint publications, webinars, and comparative guides on emerging enforcement and compliance issues.
Build lasting relationships between member firms and expand collective capacity for multi-jurisdictional matters.
Core Areas of Focus
Our member firms advise clients on a broad range of regulatory and investigative matters, including:
Securities-market regulation and enforcement before the SEC, FINRA, FCA, ASIC, ESMA, and other international authorities.
Cross-border investigations into market conduct, insider trading, manipulation, and disclosure obligations.
Regulatory supervision of broker-dealers, investment advisers, and trading platforms.
Enforcement and compliance in traditional and emerging financial markets.
Internal and independent investigations for boards, audit committees, and regulated entities.
Development of AML, KYC, and financial-crime compliance programmes that meet global standards.
Through shared expertise and coordinated strategy, the group assists clients in responding effectively to enforcement risk and maintaining constructive relations with regulators worldwide.
Independent and Internal Investigations
Our lawyers are trusted by boards, audit committees, and senior executives to conduct independent internal investigations that address compliance and governance concerns.
We design each investigation to uncover facts objectively, assess exposure accurately, and propose practical remediation strategies. When regulatory engagement becomes necessary, our member firms coordinate seamlessly across jurisdictions, ensuring consistency and credibility in every interaction.
Crisis Management and Regulatory Strategy
When clients face regulatory pressure, public scrutiny, or time-sensitive investigations, our member firms act swiftly to safeguard their legal, commercial, and reputational interests. We develop coherent, forward-looking strategies that align with business objectives while ensuring compliance and mitigating risk.
We also advise clients on proactive regulatory engagement, helping institutions anticipate emerging obligations, adapt governance frameworks, and foster transparent relationships with supervisory authorities.
Global Collaboration and Connectivity
The Securities Enforcement & Investigations Group functions as a connected, collaborative network within Mackrell International.
Our structure includes:
Regular virtual meetings and regional enforcement briefings.
Comparative jurisdictional guides and shared enforcement alerts.
Joint client-facing materials and knowledge resources across member firms.
Cross-practice collaboration with the Blockchain & Digital Assets Group and other Mackrell practice areas to provide holistic legal solutions.
Through this integrated approach, Mackrell International firms offer global reach with local insight, combining the expertise of leading independent firms with the efficiency and responsiveness of a unified international team.
Why Mackrell International
Clients value Mackrell International for its combination of agility, discretion, and global regulatory expertise. Whether managing a multi-jurisdictional investigation, responding to a regulator’s inquiry, or advising on compliance strategy, our network delivers cohesive, informed, and practical counsel that supports both institutional and entrepreneurial clients in the financial and technology sectors.
Join the Securities Enforcement & Investigations Practice Group
Member firms advising on securities regulation, financial-services compliance, or cross-border investigations are invited to join our collaborative network. Together we share insights, strengthen international connections, and deliver seamless, multi-jurisdictional support to clients around the world.
To join, or if any member requires an up-to-date list of this PG Participants please contact MI HQ - mackrell.hq@mackrell.net
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Practice Group leader K. Braeden Anderson was recently named the #1 most-read thought leader in the United States for fintech in Mondaq’s Spring 2025 Thought Leadership Awards, recognizing Braeden as the top U.S. firm for fintech regulatory writing.”
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