James E. Anderson is a partner in the Asset Management Group in the Washington, D.C. office. His practice covers the entire range of securities regulation and he advises a wide variety of clients, including investment advisers, hedge funds, private equity funds, mutual funds, banks and broker-dealers.



Jim has worked on the following recent matters*:

An investment adviser seeking an order from the SEC exempting the adviser from the two-year prohibition on compensation imposed by Investment Advisers Act of 1940 Rule 206(4)-5(a) following a prohibited contribution to a political candidate by one of the adviser’s employees.
A family office seeking an order from the SEC exempting the family office from registration as an investment adviser so that the family office can continue to provide services to a long-time client who is not a “family client” under Advisers Act Rule 202(a)(11)(G)-1.
Investment advisers whose affiliates have settled mortgage-related cases with various state and federal regulatory authorities to obtain orders from the SEC exempting the investment advisers from the automatic disqualification provisions of Section 9 of the Investment Company Act of 1940.
Representing a broker-dealer/investment adviser in a FINRA investigation of its email retention and recordkeeping.
Representing a broker-dealer/investment adviser in a FINRA investigation of its leveraged ETF and mutual fund sales practices.
Representing a broker-dealer/investment adviser in a FINRA investigation of unauthorized outside business activities by a registered representative.
Coordinating on behalf of a hedge fund a multinational internal review of alleged improper trading activities in connection with a corporate takeover.

Prior Experience

Prior to joining Willkie, Jim was a partner at WilmerHale, where he served as Chair of the Investment Management Practice, among other roles. Early in his career, he served as a Staff Attorney in the SEC’s Office of Investment Company Regulation of the Division of Investment Management.