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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.
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
April 26, 2019
King & Spalding Earns Top Rankings in Chambers USA 2019 Guide
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.
See more
October 31, 2019
Regulation Best Interest: Updates and Developments
October 10, 2019
Messages for Public Companies from the SEC’s Spate of September Enforcement Actions
September 16, 2019
The Lasting Impact of Kokesh: Footnote 3 and Beyond
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
April 26, 2019
King & Spalding Earns Top Rankings in Chambers USA 2019 Guide
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.
See more
October 31, 2019
Regulation Best Interest: Updates and Developments
October 10, 2019
Messages for Public Companies from the SEC’s Spate of September Enforcement Actions
September 16, 2019
The Lasting Impact of Kokesh: Footnote 3 and Beyond
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
April 26, 2019
King & Spalding Earns Top Rankings in Chambers USA 2019 Guide
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English