Investment Advisers: Law & Compliance

James E. Anderson has a general securities practice, with an emphasis on investment management and broker-dealer regulatory, enforcement, and litigation matters. From May of 1992 through August of 1994, Mr. Anderson served as a Staff Attorney in the Office of Investment Company Regulation, Division of Investment Management, of the United States Securities & Exchange Commission. He was involved in the re-evaluation of existing statutory and regulatory requirements and the design of new approaches to changing conditions in the investment company industry.

Mr. Anderson is a graduate of the University of Utah (B.A. 1988) and the J. Reuben Clark Law School, Brigham Young University (J.D. 1992, magna cum laude, Order of the Coif), where he was Lead Articles Editor of the BYU Law Review.

Justin L. Browder is partner in the Asset Management Group of Willkie Farr & Gallagher LLP, based in the firm’s Washington, DC office. Mr. Browder concentrates his practice on counseling investment advisers, broker-dealers, investment companies and other financial institutions concerning their compliance with the federal securities laws. Mr. Browder has substantial experience advising managers of private funds, including hedge funds, private equity funds and venture capital funds, as to ongoing regulatory and operational matters. He also devotes significant time to counseling dual registrants regarding a wide range of wealth management programs, including wrap fee programs and other bundled services. In addition, a large portion of his practice involves representing investment advisers in examination and enforcement proceedings before the Securities and Exchange Commission.

Mr. Browder’s experience also includes: advising investment companies, their advisers and boards of directors as to compliance with the Investment Company Act of 1940; and advising alternative asset managers as to fund formation matters.

Prior to joining Willkie Farr in 2015, Mr. Browder was an associate at WilmerHale in Washington, DC and served as Assistant General Counsel at Och-Ziff Capital Management Group, a large multi-strategy alternative asset manager based in New York City.

Mr. Browder is a graduate of Duke University (A.B. 2006) and the University of Miami School of Law (J.D. 2009, magna cum laude), where he served as Senior Articles Editor of the University of Miami Law Review.

Mr. Browder is a member of the Bars of New York and the District of Columbia.