Caroline J Lambert

5 years of experience
Gov & Administrative Law, Securities Law
Massachusetts

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Biography

Caroline focuses her work on white collar and government investigations, securities enforcement and counseling, and regulatory compliance. Caroline has experience representing large insurance companies, broker-dealers and other financial institutions, public and private companies, and individuals in government investigations and proceedings before administrative, legislative, and self-regulatory agencies including the SEC and FINRA.

Caroline also helps develop and update effective compliance and supervisory policies and procedures and has experience in drafting effective Regulation SHO, Conflicts of Interest, and Customer Due Diligence policies, among other compliance procedures. Caroline further works with CFIUS, the Corporate Transparency Act and anti-money laundering regulations, export-import controls and anti-boycott and anti-corruption regulations, and has experience assisting US companies navigating USTDA submissions, export controls, sanctions, and other regulatory controls.

Caroline also has experience representing issuers and broker-dealers in financings, capital markets transactions, initial public offerings, private placements, PIPEs, and investment fund matters, and advising clients on corporate governance and compliance with ongoing disclosure and other obligations under the federal securities laws.

Caroline is a legal fellow with the Massachusetts Export Center, assisting companies with building and maintaining effective export compliance programs and navigating sanctions, anti-boycott, anti-corruption, and other regulatory controls.

Caroline’s multifaceted background helps her effectively represent and counsel clients through litigation, investigation, and regulatory challenges alike.

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