Mary P. Hansen represents clients in connection with investigations and litigation involving the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA) and the Department of Justice (DOJ). She also assists clients with internal investigations and compliance and prevention strategies. These clients include investment advisers, broker-dealers, registered representatives public and private companies, officers, directors and other employees, mutual funds, hedge funds, private equity funds and independent trustees of mutual fund boards.
Prior to joining the firm, Mary spent eight years in the Securities and Exchange Commission’s Division of Enforcement. As an Assistant Director in the Division, Mary was responsible for supervising investigations and litigations conducted by attorneys and accountants in the Division’s Market Abuse and Municipal Securities and Public Pensions Units. During her tenure at the Commission, Mary conducted and supervised complex investigations and litigations involving a range of violations, including insider trading, broker-dealer fraud, investment adviser fraud, offering fraud, Ponzi schemes, market manipulation, municipal securities fraud and Foreign Corrupt Practices Act violations.
Her experience includes guiding investment advisers and their representatives through SEC investigations involving insider trading, “pay-to-play” violations, misrepresentations and omissions to clients and investors, foreign currency trading issues, certain management fees and expenses, and various disclosure issues. Mary has obtained termination letters from the SEC as well as declinations of prosecution from the DOJ. She draws on her SEC experience to provide compliance advice, including policy assessment and responses to investigative notices.
Prior to law school, Mary worked at a large, multi-national broker-dealer in various audit and compliance roles. As a securities industry professional, Mary passed the Series, 3, 5, 7, 8, 15, and 65 Examinations.Mary maintains the SECurities Law Perspectives blog, which provides reports, discussions and analyses on noteworthy trends in SEC enforcement and regulatory activity. In addition to the blog, Mary is a frequent speaker on issues such as internal investigations, insider trading, the SEC’s Whistleblower Program, the Foreign Corrupt Practices Act, and regulatory issues facing investment advisers and broker-dealers.