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People
M. Alexander
Koch
(Alec)
Partner
Securities Enforcement and Regulation
/ Special Matters and Government Investigations
Alec Koch specializes in representing public companies, financial institutions, and individuals in securities enforcement investigations. Alec also regularly conducts internal investigations on behalf of board committees and companies, advises clients on regulatory compliance and corporate governance issues, and is a member of our firm's Financial Services leadership team. A partner in our Special Matters and Government Investigations 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. He has been ranked by Chambers USA, which wrote that Alec has "broad market approval for his enforcement-side practice" and was described by sources as "an extraordinary lawyer."
From 2002 to 2016, Alec was a member of the SEC’s Division of Enforcement, where he 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.
Prior to joining the SEC, Alec was an associate at King & Spalding from 1997-2002. He rejoined the firm in 2016.
Credentials
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English
Close
Recognition
Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer." - Chambers USA, Securities Regulation: Enforcement
USA - Nationwide
News
Recognition
October 23, 2020
GIR Names King & Spalding to List of Top 30 Global Investigations Firms for Sixth Year
Recognition
April 24, 2020
King & Spalding Earns Top Rankings in Chambers USA 2020 Guide
In the News · Source: The Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
Matters
Represented one of the world's largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Representing the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.
Representing the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.
See more
Close
Matters
Represented one of the world's largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Representing the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.
Representing the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.
Representing a provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.
Representing the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.
Representing a public electrical utility in an SEC investigation of the utility’s historical bond offerings.
Defended one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Represented the audit committee of a public media analytics company in an internal investigation and related government investigations into more than 20 separate allegations of accounting fraud and whistleblower retaliation.
Defended a major U.S. law firm and several of its partners and employees in an SEC investigation concerning the activities of the firm’s former client, an asset manager.
Insights
Client Alert
October 23, 2020
FINRA Proposes Expansion of Safe Harbor in Cases of Suspected Financial Exploitation
Newsletter
September 30, 2020
Financial Services Focus International – October 2020
Client Alert
August 18, 2020
SEC Examiners Warn of COVID-Related Compliance Risks for Broker-Dealers and Investment Advisers
News
Recognition
October 23, 2020
GIR Names King & Spalding to List of Top 30 Global Investigations Firms for Sixth Year
Recognition
April 24, 2020
King & Spalding Earns Top Rankings in Chambers USA 2020 Guide
In the News · Source: The Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
Matters
Represented one of the world's largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Representing the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.
Representing the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.
See more
Close
Matters
Represented one of the world's largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Representing the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.
Representing the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.
Representing a provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.
Representing the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.
Representing a public electrical utility in an SEC investigation of the utility’s historical bond offerings.
Defended one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.
Represented the audit committee of a public media analytics company in an internal investigation and related government investigations into more than 20 separate allegations of accounting fraud and whistleblower retaliation.
Defended a major U.S. law firm and several of its partners and employees in an SEC investigation concerning the activities of the firm’s former client, an asset manager.
Insights
Client Alert
October 23, 2020
FINRA Proposes Expansion of Safe Harbor in Cases of Suspected Financial Exploitation
Newsletter
September 30, 2020
Financial Services Focus International – October 2020
Client Alert
August 18, 2020
SEC Examiners Warn of COVID-Related Compliance Risks for Broker-Dealers and Investment Advisers
News
Recognition
October 23, 2020
GIR Names King & Spalding to List of Top 30 Global Investigations Firms for Sixth Year
Recognition
April 24, 2020
King & Spalding Earns Top Rankings in Chambers USA 2020 Guide
In the News · Source: The Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
Credentials
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English
Close
Recognition
Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer." - Chambers USA, Securities Regulation: Enforcement
USA - Nationwide