Jennifer Connors is a New York financial services attorney who represents broker-dealers, alternative trading systems (ATSs), financial technology (FinTech) companies and other market participants on securities law and market regulation matters. Ms. Connors' practice has a particular emphasis on broker-dealer regulation and compliance issues, trading rules, issues regarding ATSs, electronic trading, cybersecurity, sales practices and anti-money laundering (AML) rules. She also advises FinTech companies and fund management clients with respect to broker-dealer regulation issues, as well as securities offerings and private placements.
In addition, Ms. Connors regularly counsels clients on U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) inquiries and examinations, and continuing membership applications (CMAs). She also handles aspects of regulatory examinations and authorizations administered by select non-U.S. regulators, including the United Kingdom Financial Conduct Authority and the Securities and Futures Commission of Hong Kong.
Ms. Connors has more than 20 years of experience in legal and compliance roles at both global financial services firms and innovative FinTech companies. In these roles, she developed comprehensive written supervisory procedures (WSPs) and training programs for brokerage personnel, and served as a key liaison with financial industry regulators. In addition, Ms. Connors has drafted and negotiated vendor agreements, technology license agreements and electronic-access and trading agreements within the context of a FinTech startup.
Prior to joining Holland & Knight, Ms. Connors was a New York financial services attorney for an international law firm.
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