Government Investigation Trends in the Financial Sector: How You Can Reduce Your Risk

Caitlyn M. Campbell, a former US Securities & Exchange Commission (SEC) Enforcement Attorney, co-leads the firm's SEC enforcement practice. She represents clients in SEC investigations, securities class action and derivative litigation and compliance matters. With more than two decades of experience in public service and private practice, Caitlyn advises on complex issues involving alleged violations of federal securities laws, including accounting fraud, disclosure and internal controls-related violations, regulatory violations by investment advisers and broker-dealers, insider trading, market abuse, anti-corruption and Foreign Corrupt Practices Act (FCPA) violations and whistleblower claims. She also assists companies in developing training programs and compliance policies and procedures.

Before joining McDermott Will & Schulte, Caitlyn served eight years at the SEC, including as Senior Counsel to the Directors of Enforcement, assisting with the management of the Commission’s largest division. At the SEC, Caitlyn led all aspects of investigations involving accounting fraud, complex insider trading schemes, market abuse, market manipulation, misappropriation of investor funds, investment adviser fraud and the Immigrant Investor Program. She also coordinated complex, cross-border investigations with foreign regulators. In addition to her investigative work, Caitlyn co-chaired the New England region committee that focused on proactively identifying accounting and disclosure fraud and served as liaison to both the SEC's national Financial Reporting and Audit Group and the Boston FBI.

Caitlyn has conducted numerous internal investigations for major public companies, their boards of directors, and board committees.  She has represented public companies, audit firms, senior executives, registered investment advisers, hedge funds and private equity firms in matters before the SEC, US Department of Justice (DOJ), and the Financial Industry Regulatory Authority (FINRA). Her litigation experience includes representing corporations, directors, and officers in securities class actions and shareholder derivative suits. She has also advised clients in Special Purpose Acquisition Company (SPAC)-related litigation and SEC investigations.

A frequent speaker on enforcement, accounting fraud, and internal investigations, Caitlyn is recognized for her deep understanding of the intersection between regulatory expectations and corporate governance.