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John H. Walsh

Partner
Gittings Global - NE111414
A 23-year veteran of the Securities and Exchange Commission (SEC), John Walsh joined Eversheds Sutherland (US) in October 2011.
With his deep, insider’s experience and perspective of the SEC, John now represents broker-dealers, hedge funds, investment advisers and other securities firms in compliance and regulatory issues involving the agency and other regulators. He counsels clients on the full spectrum of securities issues from effective compliance to cooperation in examinations and defense in enforcement proceedings.

At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), now known as the Division of Examinations, which administers examinations of US registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, as associate director-chief counsel. In 2009, during the financial crisis, he served as OCIE’s acting director and led multiple initiatives, including a massive retraining of examination staff on antifraud techniques.

Prior to his tenure at OCIE, John was special counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance, where he regularly appeared before the Commission’s closed meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.
  • Helps clients respond to regulatory inquiries or concerns.
  • Achieved the closeout of an SEC inquiry into a broker-dealer’s treatment of certain federal tax deductions.
  • Advised a large broker-dealer on self-reporting a matter to FINRA and conducted an internal investigation into the issue, resulting only in a letter of caution from FINRA.
  • Advises insurers, investment companies, and banking and financial services corporations regarding the effectiveness and regulatory acceptability of their cybersecurity/privacy plans, programs and policies.

“Criticism and self-criticism have become so engrained in our regulatory environment that they hardly draw any notice—regulated entities seeking recognition of their right conduct should expect to receive criticism and should be ready to engage in self-criticism. Nonetheless, the SEC’s program of paying informants places new demands on legal and compliance professionals, and we must help our clients rise to the challenge.”

John provides frequent presentations on the securities laws, regulation and compliance.

  • Recipient, Compliance Week Top Minds Award (2019)
  • Recognized by The Legal 500 United States in the area of financial services: regulatory (2018)
  • Recipient, SEC Law and Policy Award (2010-2011)
  • Recipient, SEC Examination Award of Excellence (2000)
  • Recipient, SEC Regulatory Simplification Award (1996)
  • Member, Board of Advisors, Securities and Exchange Commission Historical Society
  • Member, American Law Institute
  • Member, Association of Certified Fraud Examiners
  • Member, National Society of Compliance Professionals
  • District of Columbia
  • New York
  • Ph.D., Boston College
  • J.D., Georgetown University Law Center,

    Editor, American Criminal Law Review

  • M.A., Northeastern University
  • B.A., summa cum laude, Worcester State University
Gittings Global - NE111414
John Walsh

Partner

Gittings Global - NE111414
John Walsh

Partner

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