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Alec Koch specializes in representing public companies, financial institutions, boards of directors, and individuals in securities enforcement and anti-corruption investigations. Alec also regularly conducts internal investigations on behalf of board committees and companies, and advises clients on regulatory compliance and corporate governance issues. A co-leader of our Securities Enforcement and Regulation practice and a former Assistant Director in the Securities and Exchange Commission's Division of Enforcement, Alec represents clients before the SEC, the Department of Justice, and other regulatory authorities.
At the SEC, Alec supervised investigations of all types, including matters involving: regulated entities such as broker-dealers, credit rating agencies, and investment advisers; public company accounting and disclosure; the Foreign Corrupt Practices Act; insider trading; and securities offerings. Throughout his time at the SEC, Alec had significant responsibility for the SEC’s obligations under the landmark Global Research Analyst Settlement. He also served as a member of the Division of Enforcement’s Broker-Dealer Task Force, as the co-chair of the Division of Enforcement’s Priorities and Resources Subcommittee, and as a liaison between the Division of Enforcement and the SEC’s Office of Credit Ratings.
Since 2017, Alec has served on the board of directors of the Ethics Research Center, an arm of the Ethics & Compliance Initiative, a non-profit organization that works to assist public companies and other institutions with building strong ethics and compliance cultures and programs.
He has been ranked by Chambers USA, which wrote that Alec has "broad market approval for his enforcement-side practice."
Prior to joining the SEC, Alec was an associate at King & Spalding from 1997-2002. He rejoined the firm in 2016.
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