Kevin Harnisch

Kevin Harnisch

Partner, Norton Rose Fulbright LLP
[email protected]

Kevin Harnisch is the US head of regulation, investigations, securities and compliance at the firm. He is a litigator who defends clients before the United States Securities and Exchange Commission (SEC), FINRA and other self-regulatory organisations, the Department of Justice, the US Commodity Futures Trading Commission, US attorney’s offices and federal courts. He handles matters relating to securities enforcement defence, internal investigations and anti-corruption issues, and represents corporations (and their directors and officers), broker-dealers, hedge funds, private equity funds and investment banks.

Kevin served as a branch chief in the Division of Enforcement of the SEC, where he led cases regarding financial fraud, market manipulation, insider trading, the Foreign Corrupt Practices Act and municipal bond offerings.

Kevin has significant experience defending public companies in a wide array of government agency investigations. Those investigations often pertain to such issues as the accuracy of financial statements, undisclosed related-party transactions, the adequacy of internal controls, the FCPA and other anti-corruption laws, responses to whistleblowers, and potential insider trading.

He is also active in representing broker-dealers in various matters, including in anti-money laundering and suspicious activity reporting issues, market manipulation, order handling and best execution, managing conflicts of interest, the reasonableness of supervision, and the effectiveness of internal controls.

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