Holland & Knight Revamps Broker-Dealer and Investment Adviser Regulation Team
Holland & Knight continues to expand its Broker-Dealer and Investment Adviser Regulation Team, growing in talent and depth to enhance its ability to support broker-dealers and investment advisers in navigating an ever-evolving and challenging regulatory landscape.
Industry Experience. Our attorneys draw upon their wide-ranging and diverse experience and understanding of the securities industry:
Jennifer Connors – Team co-lead with multiple years of experience in private practice and in-house legal and compliance leadership roles, including as general counsel and chief compliance officer at global financial services firms and innovative FinTech companies, covering capital markets, institutional buy-side and sell-side firms, and wealth management channels.
Rebecca Leon – Team co-lead with extensive experience guiding clients on structuring and developing global operations and cross-border business models to manage both U.S. and foreign legal and regulatory risks.
Matthew Terry – More than 20 years in senior legal leadership roles at a multinational financial services firm supporting the development and growth of its multichannel wealth management business, including full-service brokerage and investment advisory, independent advisor and registered investment advisor (RIA) custody services, as well as correspondent clearing and international wealth.
Eshai Gorshein – More than 15 years of experience at global investment banking institutions covering securities markets, banking products, payment services and anti-money laundering regulations.
Exceptional Client Service: Significant industry experience and subject matter knowledge help us support our clients in the fast-paced securities industry. We understand that our clients face significant demands and deadlines. Each attorney on the team is dedicated to providing responsive and timely service – proactively keeping our clients informed every step of the way.
Collaborative and Holistic Approach: Not all clients are the same – in size, scope, structure, operations or technology. We take a holistic approach to providing legal services, working collaboratively to understand each client's unique business in order to offer practical, business-focused guidance and solutions to meet their needs and objectives.
Global Reach: Our team is adept at structuring cross-border broker-dealer and investment adviser activities, managing global compliance and navigating regulatory regimes in multiple jurisdictions. We also frequently advise clients entering the U.S. market and on the intricacies of establishing foreign offices and global operations.
Looking Ahead
As regulatory frameworks continue to shift and the provision of investment services becomes increasingly global and complex, we are committed more than ever to delivering seamless, forward-looking legal guidance. Whether you are expanding domestically or internationally, restructuring operations, responding to regulatory examinations, or developing new products and services, our Broker-Dealer and Investment Adviser Regulation Team is ready to partner with you.