Shaswat Das Email & Phone Number

Washington D.C. Metro Area

Broad regulatory compliance practice that includes economic/trade sanctions, anti-money laundering, cryptocurrency, export controls, anti-corruption, securities, and bank regulatory matters. Advise diverse client base, e.g., financial institutions, FinTech companies, manufacturers, distributors, airlines, shipping, and energy-related companies, on.

Washington, District Of Columbia

Served as the firm’s primary point person on OFAC/U.S. sanctions, anti-money laundering, and anti-corruption matters. Advised boards, including audit committees, on best practices to comply with corporate governance requirements. Prepared risk assessments, developed compliance programs, and conducted internal investigations to ensure compliance with.

Developed strategies for implementing the Board’s statutorily-mandated oversight of registered non-U.S. accounting firms. Served as chief negotiator with the Chinese government on cross-border audit oversight. Negotiated bilateral agreements with regulators in China, Greece, Denmark, and Germany.

Paris Area, France

Recommended by U.S. Treasury Department to serve as a short-term secondee at the OECD. Advised the OECD’s Corporate Affairs Division on its project to update the OECD’s Principles of Corporate Governance (adopted by the G-20).

Advised senior officials on U.S. regulatory reform and developments, including derivatives regulations, hedge fund registration and reporting requirements, municipal securities reform, and designations of systemically important financial institutions. Advised senior officials on the development of rules to implement the Dodd-Frank Act, including the.

Office of Foreign Assets Control. Served as OFAC’s first ever liaison to the U.S. securities regulators and industry. Prepared compliance guidance, advised on policy and enforcement recommendations, and represented OFAC at industry conferences and meetings. Promoted a greater understanding of U.S. economic and trade sanctions among all segments of the.

Office of International Banking and Securities Markets. Advised senior officials on international (G-20) and U.S. regulatory reform and developments, including providing guidance to the President’s Working Group on Financial Markets. Served as lead advisor on accounting/auditing related matters and drafted accounting-related sections of Treasury’s White.

Advised on regulatory and enforcement matters involving broker-dealers, including potential violations of the FINRA rules and the federal securities laws/regulations.

Supervised a team of examiners that conducted on-site reviews of investment advisor and broker-dealer affiliates. Developed an enterprise-wide compliance program.

Provided the Board with specialized advisory legal services in connection with formal supervisory and enforcement actions against state member banks, bank holding companies, non-bank subsidiaries, and foreign financial institutions pursuant to various federal banking laws and regulations. Served as liaison to the SEC with respect to securities-related.

Office of Regulatory Policy and Office of Disclosure and Review. Drafted rules designed to address market timing and late trading abuses and expand financial disclosure in the investment management industry. Provided senior legal services and reviewed disclosure filings in order to monitor and ensure compliance by investment companies with the Securities.

Office of Municipal Securities. Provided legal assistance and recommendations to the Enforcement Division on cases involving fraud in the municipal market and worked with the Commission staff as needed in connection with regulatory actions; prepared staff reports regarding the actions and their consequences; assisted in the educational efforts to effect.

Litigated pension liability and breach of fiduciary duty claims against employers and plan sponsors pursuant to ERISA; filed and negotiated claims in bankruptcy court.

Doctor Of Law (Jd)

Bachelor Of Arts (Ba), History

Activities and Societies: Phi Alpha Theta (History Honors Society)