FacultyFaculty/Author Profile
Neil T. Smith

Neil T. Smith

K&L Gates LLP

Boston, MA, USA


Neil Smith is a partner in the firm’s Boston office, where he is member of the Investigations, Enforcement and White collar practice group.  His practice focuses on government investigations, securities enforcement, internal investigations, financial regulatory enforcement, and white collar defense.  In particular, he has extensive experience conducting global investigations involving violations of the Foreign Corrupt Practices Act and other anti-corruption laws. 

Mr. Smith represents corporations and individuals in a wide range of criminal and civil matters, including investigations conducted by the U.S. Department of Justice and Securities and Exchange Commission, and other federal and state criminal and civil regulatory authorities.  His practice also involves counseling clients on best practices and risk mitigation strategies in securities regulation, anti-corruption policies, and FCPA compliance. 

Prior to joining the firm, Mr. Smith served as senior counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (“SEC”) for more than six years, where he was a member of the SEC’s Foreign Corrupt Practices Act specialized unit.  He is a recognized expert in FCPA enforcement and a frequent speaker at industry conferences.  His experience includes extensive collaboration with U.S. and foreign criminal and regulatory authorities in complex, cross-border investigations.  While at the SEC, Mr. Smith also had extensive experience investigating financial services firms and other companies for violations including securities fraud, investor misrepresentations, and marketing violations.  In 2017, he was the recipient of the Ferdinand Pecora Award for tenacity, creativity and efficiency under difficult circumstances, and the Director of Enforcement Award for outstanding service in 2016.

Mr. Smith earned his J.D. summa cum laude from Boston College Law School and B.A. from Dartmouth College. 

Neil T. Smith is associated with the following items:
CHB Chapters  CHB Chapters Anti-Corruption Issues Facing Financial Institutions (Substantive Outline) (February 2018) - The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018, Monday, April 23, 2018
Web Segment  Web Segment Anti-Corruption Issues Facing Financial Institutions           - The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018, Wednesday, April 25, 2018
MP3 Audio  MP3 Audio Anti-Corruption Issues Facing Financial Institutions           - Anti-Corruption Issues Facing Financial Institutions          , Wednesday, April 25, 2018
Transcripts  Transcripts Anti-Corruption Issues Facing Financial Institutions           - Anti-Corruption Issues Facing Financial Institutions          , Wednesday, April 25, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Anti-Corruption Issues Facing Financial Institutions           - Anti-Corruption Issues Facing Financial Institutions          , Wednesday, April 25, 2018
On-Demand Web Programs  On-Demand Web Programs The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018, Tuesday, May 01, 2018, New York, NY
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