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Financial Services RegTech and Regulatory Compliance Forum 2021


Speaker(s): Alixandra Smith, Aseel M. Rabie, Ben Marzouk, Charles D. Riely, Charles V. Senatore, Clifford E. Kirsch, Colleen T. Brown, Dan McGonegle, Daniel Michael, Eric T. Young, Haimera Workie, Jeannette Turner, Kristin A. Snyder, Matthew B. Comstock, Natalia Lima Dambach, Nathan J. Greene, Satish M. Kini, Saumya Manohar
Recorded on: Nov. 15, 2021
PLI Program #: 307155

Satish Kini is Chair of Debevoise’s Banking Group and a member of its Financial Institutions Group. Mr. Kini advises on a wide range of regulatory and transactional banking issues.

For example, he has:

  • represented large financial services firms in transactional matters, including to secure regulatory approvals for transactions from U.S. federal and state bank regulatory agencies and to develop compliance frameworks for various business combinations;
  • counseled banks, insurers, asset managers and securities firms in a broad range of regulatory and compliance issues, ranging from the Volcker Rule to affiliate transactions, anti-money laundering, economic sanctions and data privacy/security;
  • represented clients in adversarial proceedings before the federal bank regulatory agencies and the Consumer Financial Protection Bureau, including in enforcement proceedings and in adverse examination contexts; and
  • advised clients on regulatory and compliance issues arising out of cross- border transactions and outsourcing arrangements, including with respect to sanctions and money laundering issues.

In the context of these matters, Mr. Kini has led internal fact investigations of clients (involving allegations of data breaches/fraud, money laundering and sanctions compliance issues) and advised clients on compliance governance and structuring. He also has briefed senior business decision-makers and boards of directors, based in the United States and abroad, on important regulatory, enforcement and investigations matters.

Mr. Kini has represented a wide range of firms (including banks, insurers, securities broker-dealers and asset managers) and leading industry trade associations on regulatory reform issues, including those arising out of the Dodd-Frank Act, and has assisted clients to participate in the policymaking process before federal regulators. He has helped to create industry coalitions to advocate for regulatory positions and to arrive at consensus interpretations on difficult issues. He also has testified on Dodd-Frank issues before Congress and has represented clients on Dodd-Frank and other matters before the federal banking agencies, the U.S. Securities and Exchange Commission, the Financial Stability Oversight Council and the U.S. Treasury Department and its Financial Crimes Enforcement Network (“FinCEN”) and Office of Foreign Assets Control (“OFAC”).

Mr. Kini received his B.A. magna cum laude from Colgate University in 1985. He received his J.D. from Columbia University School of Law in 1992, where he was a Harlan Fiske Stone Scholar, a John M. Olin Fellow in Law and Economics and the Managing Editor of the Columbia Law Review. He is a member of the District of Columbia and the New York Bars


Alixandra Smith has served as the Chief of the Business and Securities Fraud Section at the United States Attorney’s Office for the Eastern District of New York since 2019, and is currently serving as the Acting Deputy Chief of the Office’s Criminal Division.  She has investigated and prosecuted a wide variety of criminal matters against both individuals and entities, including fraud involving publicly-traded companies, market manipulation, insider trading, healthcare fraud, tax crimes, money laundering, cyber-enabled crime and violations of the Foreign Corrupt Practices Act (“FCPA”).  Alix is also an adjunct professor at New York University Law School.

During her time at the Office, Alix has worked on significant white collar cases.  For example, Alix was the co-lead prosecutor for United States v. Martin Shkreli and Evan Greebel, in which a pharmaceutical executive and his attorney were convicted of securities fraud conspiracy and other charges in connection with four complex fraud schemes in separate trials lasting a combined total of 17 weeks.  Alix has prosecuted a number of noteworthy FCPA matters, including United States v. Odebrecht and United States v. Braskem and related cases, in which two Brazilian-based petrochemical companies that paid almost a billion dollars in bribes to government officials in at least 12 countries in order to win business pleaded guilty to conspiracy to violate the anti-bribery provisions of the FCPA as part of an agreement to resolve charges in the United States, Brazil and Switzerland; and United States v. Goldman Sachs and related cases, in which investment bank Goldman Sachs and three individuals, including two former Goldman Sachs bankers, were charged for their participation in a multi-billion dollar money laundering and bribery conspiracy related to 1 Malaysia Development Berhad (IMDB), and Goldman Sachs entered into a deferred prosecution agreement and its Malaysian subsidiary pleaded guilty to conspiracy to violate the anti-bribery provisions of the FCPA, paid $2.9 billion in criminal penalties as part of a global resolution with eight different foreign and domestic authorities.  Alix also led the criminal prosecution of United States v. AmerisourceBergen, in which the second-largest drug distributor in the United States pleaded guilty to a criminal violation of the Federal Food, Drug and Cosmetics Act and paid a combined total of $885 million in civil and criminal penalties stemming from its distribution, over a period of ten years, of millions of syringes of oncology drugs to immunocompromised cancer patients nationwide that were prepared under insanitary conditions and contaminated.

Prior to joining the Office, Alix was an associate at two law firms in New York; completed clerkships with the Honorable Julio M. Fuentes, United States Court of Appeals for the Third Circuit, and the Honorable Faith S. Hochberg, United States District Court for the District of New Jersey; and served as an adjunct professor at Fordham Law School.  She graduated from Harvard University and Harvard Law School.


Ben Marzouk is a financial services attorney who advises broker-dealers and investment advisers on compliance with federal and state securities laws, including Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations. Ben represents registered investment companies and investment funds in regulatory matters and helps clients navigate the complex rules governing capital-raising activities, as well as public and private securities offerings.

With a deep knowledge of the financial services and asset management industries, Ben’s regulatory experience also extends to anti-money laundering compliance, digital currency transactions and initial coin offerings (ICOs), crowdfunding, and corporate mergers and acquisitions. Ben also advises broker-dealers and other financial services intermediaries on the distribution of a wide variety of investment products, such as equity stocks, corporate and municipal bonds, mutual funds, insurance contracts, variable annuities, and other alternative investment products, including cannabis-related investment funds.

Before joining Eversheds Sutherland (US) as an associate, Ben participated in the firm’s Summer Associate program in 2010 where he assisted primarily with financial services matters. He previously worked as an analyst for a global consulting firm where he conducted an analysis as part of a large-scale restructuring of the United States Army’s financial branch.


Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country’s largest dually- registered broker-dealer/advisers and then joined Sutherland (now Eversheds Sutherland) in 2006. He relies on his regulatory and in- house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.

Cliff is a frequent speaker at industry conferences, and is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (published by the Practising Law Institute).

Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Experience

Eversheds Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Eversheds Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.

Eversheds Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.  Eversheds Sutherland serves as regular primary outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.

Eversheds Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.

Eversheds Sutherland serves as counsel to the Coalition of Collective Trust Funds. Among other things, Sutherland monitors and reports on legal and regulatory matters affecting collective trust funds.

Professional Activities

Member, New York City Bar Association

Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania

Former Chair, FINRA Variable Products Committee

Former Board Member, National Society of Compliance Professionals


Colleen Theresa Brown focuses on privacy, cybersecurity, data protection and emerging technology issues for a diverse group of companies, including those in the financial, life sciences, telecommunications, media, retail and manufacturing sectors. She also serves on the firm’s COVID-19 Task Force. Over the past decade, she has focused her practice on global data protection compliance, litigation and regulatory enforcement actions, and data breach response, crisis management and internal investigations. Colleen is a recommended lawyer by Legal 500 USA for Cyber Law, and Legal 500 notes, “Colleen Brown demonstrates ‘confidence in making judgment calls on complex issues.’” Washingtonian magazine named Colleen among its “Top Lawyers” for Cybersecurity in 2019, and The Lawyer Network recognized Colleen as Cybersecurity Lawyer of the Year in Washington, D.C. in 2021.

Her counseling experience includes cyber risk and data breach management, corporate data protection and privacy compliance programs, international data protection and cross-border transfer, Big Data, Internet of Things, electronic surveillance, trade secrets, social media, cloud computing and online brand protection. She also has significant experience in counseling and strategy under CAN-SPAM, CCPA, CFAA, COPPA, ECPA, ESIGN, FCRA, FOIA, GDPR, GLBA, HIPAA, the Privacy Act, TCPA, Unfair and Deceptive Trade Practices, state privacy and common law claims including defamation and privacy torts, privacy regulations and enforcement in federal agencies including the Federal Trade Commission and the Federal Communications Commission, and industry self-regulation on privacy matters, including those related to online advertising and PCI DSS compliance. Colleen is a Certified Information Privacy Professional/United States through the International Association of Privacy Professionals (IAPP).

In addition to counseling and litigation related to data protection, her work also includes counseling and negotiation of data-driven agreements, as well as privacy and cybersecurity diligence and integration planning for mergers and acquisitions.

At Sidley, Colleen co-founded Women in Privacy®, a networking group for women working as in-house counsel, compliance officers and other professionals in the field of privacy. Women in Privacy® holds regular meetings in the U.S. and the EU and is dedicated to thought leadership for women privacy professionals. She is also chief editor of the Sidley Blog Data Matters: Cybersecurity, Privacy, Data Protection, Internet Law and Policy.


Kristin Snyder is the Deputy Director of the SEC’s Division of Examinations as well as the National Associate Director of the Investment Adviser/Investment Company Examination Program.  Ms. Snyder also serves as the Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads the examinations program.  Ms. Snyder has worked at the SEC for more than fifteen years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program.  Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco.   She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis.


Chuck Senatore is a board member and advisor to companies with particular emphasis on compliance, risk, and regulatory affairs. His current focus is on companies engaged in Fintech/Regtech, artificial intelligence, cryptocurrency and blockchain businesses.

Mr. Senatore also founded the Boston Regtech Meetup, and is a member of the Massachusetts Secretary of State's Fintech Advisory Working Group.

He teaches Compliance and Regulatory Strategy at the University of Chicago Law School, is a Senior Fellow at NYU’s Program on Corporate Compliance and Enforcement, has guest lectured at Harvard Law School, NYU Law School and Northeastern University, and is a frequent speaker and contributor at industry and academic forums.

Most recently, Mr. Senatore was Head of Risk Oversight for Fidelity Investments’ Devonshire Investors unit, focusing on compliance, risk and regulatory affairs for Fidelity’s private equity, venture and strategic investing efforts.

He also has led the global compliance programs for Fidelity and Merrill Lynch, was the SEC's Southeast Regional Director, and was an Assistant U.S. Attorney and Chief of the Public Corruption Section in the Southern District of Florida.

Mr. Senatore received a Bachelor of Arts in Economics from Williams College and earned a J.D. from the University of Chicago Law School.

 

 

 

 


Dan is a Senior Analyst in the Division of Supervision & Regulation, where he helps to coordinate the Division’s innovation strategy and policy.  In particular, Dan focuses on issues related bank and fintech partnerships, as well as regulatory and supervisory technologies.  Prior to joining the Board, Dan was a Manager in Supervision and Risk Management with the Federal Reserve Bank of Kansas City, where he most recently led the Information Technology and Service Provider supervision functions.  It was in this role Dan developed a passion for fintech, as he co-led the Division's Fintech Competency Team, with a focus on innovative technologies in the tenth Federal Reserve District.  Dan began his career in 2008 with the Federal Reserve Bank of Chicago, where he received his examiner commissioning in 2010.  Throughout his career he has been responsible for the supervision of both community and regional financial institutions, with a focus on innovation and risks associate with capital markets.  Dan received a B.A. in Business Administration from Wartburg College, Waverly, Iowa.


Daniel Michael advises corporations, boards, committees, officers, directors and employees on criminal and civil enforcement matters.

Prior to joining Skadden, Mr. Michael served as the chief of the SEC Enforcement Division’s Complex Financial Instruments Unit (CFI), where he oversaw some of the agency’s most impactful and cutting-edge enforcement actions involving complex financial products and market practices. He led a nationwide team of attorneys and market specialists who developed new investigative techniques, identified risk areas through market surveillance and data analytics, and charged cases that changed market behavior.

Mr. Michael also held several other high-level SEC roles beyond CFI. He was a member of the Enforcement Division’s Cooperation Committee and the agency’s Securities-Based Swaps Joint Venture. He also was part of working groups that led the Enforcement Division’s efforts in enforcing Regulation Best Interest and assessing and responding to event-driven market volatility.


Eric specializes in re-engineering Compliance & Ethics programs to enable regulatory health / business growth.

  • Eric Young teaches Corporate Compliance at the Fordham University School of Law in New York City. He is also CEO of Young Enterprises LLC, an enterprise compliance leadership forum.
  • He has 40 years’ regulatory, financial crimes and Chief Ethics & Compliance Officer (CCO) experience with the Fed, JP Morgan, General Electric, S&P Global Ratings, and four foreign banks including UBS, and most recently as CCO of BNP Paribas Americas (the large French bank).
  • He therefore brings deep regulatory, financial services, and industrial compliance experience at the enterprise and divisional levels.

  • Eric’s compliance programs aligns with the US DoJ Sentencing Guidelines, Federal Reserve, State and international standards.

  • Eric graduated from Columbia University at the age of 20, with a degree in Economics and has securities licenses with FINRA and is ACAMS-certified.
  • He is a frequent speaker/author, and been featured in the Wall Street Journal, Forbes, Reuters and the American Banker.
  • He is presently completing his first book, “Declaration of Independence” about the strategic partnership of Compliance and the independent Board in order to enable directors to carry out their fiduciary “duty of care” and monitoring -- by holding management more accountable.


Haimera Workie is the Head of Financial Innovation and Senior Director at FINRA.  In this capacity, he is responsible for leading FINRA’s Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an ongoing dialogue with market participants in order to build a better understanding of FinTech innovations and their impact on the securities markets.  Previously, Mr. Workie served as Deputy Associate Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. Mr. Workie also previously served as Counsel in the SEC Office of the Chairman. Prior to joining the SEC, he was an associate at the law firm of Skadden, Arps, Slate, Meagher & Flom, with a practice focusing on corporate law. He is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.).


Jeanette Turner is Managing Director, Global Regulatory and Compliance, at SEI.  She is an attorney with more than 15 years of experience working with the financial services industry, 10 of which have been concentrated in the FinTech and RegTech space.

The Global Regulatory and Compliance team at SEI manages regulatory reporting requirements for asset managers, from private and traditional fund managers to institutional investors. Ms. Turner’s focus is on the future of the financial services industry and RegTech innovation. She produces thought leadership and represents SEI on industry association committees and working groups.

Prior to joining SEI, Ms. Turner was Managing Director and General Counsel at a RegTech start-up focused on regulatory reporting for asset managers. As the fourth (and first non-tech) person to join, she was involved in all aspects of the company:  she served as the regulatory expert, working with product developers to “turn law into code,” helped asset managers navigate global regulatory reporting requirements, and managed all legal matters. She also created and led the thought leadership and knowledge management program and represented the company at industry events and as a liaison with regulators in the US and Europe. Ms. Turner helped lead the company through a successful exit and subsequent merger with other firms as part of a global RegTech roll-up strategy.

Ms. Turner is a frequent author and speaker on RegTech and regulatory compliance. Her JD is from Georgetown University Law Center and she is a CAIA charter holder.


Mr. Comstock, a former lawyer at the U.S. Securities and Exchange Commission, has a diverse practice covering the legal and regulatory aspects of securities trading and markets, including the application of securities regulation to digital assets issued on the blockchain and to technological developments in the securities industry more broadly. He regularly advises trading platforms, broker-dealers, clearing agencies, hedge funds and other clients on a variety of compliance, regulatory and transactional matters, and interfaces with the staff of the SEC and other regulatory bodies on behalf of clients. His areas of expertise include creation of trading platforms, custody and trading of alternative investments/digital assets, broker-dealer financial responsibility, broker-dealer liquidations, securities credit regulation, compliance with self-regulatory organization rules, short selling, regulations governing market manipulation, securities lending and securities repurchase transactions, soft dollars, prime brokerage, and market structure.

Mr. Comstock’s recent significant matters include assisting in the creation of a trading platform for digital assets, establishing cryptocurrency trading desks, assisting a broker-dealer with a FINRA examination and investigation regarding complex financial responsibility issues, and representing a leading global derivatives marketplace with respect to regulatory matters before the SEC’s Division of Trading and Markets.

A member of Murphy & McGonigle’s FinTech and Blockchain Practice, Mr. Comstock is a regular speaker at financial industry and blockchain events, and he is one of five authors of Murphy & McGonigle’s proprietary report, Cryptocurrency Regulatory Developments.

Mr. Comstock was an attorney in the SEC’s Division of Trading and Markets, where he held the positions of Branch Chief, Special Counsel and Staff Attorney in the Office of Financial Responsibility. He had responsibility for a variety of matters relating to broker-dealer net capital requirements, customer protection, broker-dealer books and records requirements, margin and broker-dealer liquidations.


Ms. Natalia Dambach is Senior Counsel for Citigroup covering the Securities Services and Citi Global Data Insights businesses under the Institutional Client Group division. Natalia advises the Securities Services business regarding Custody and Funds Services as well as Direct Custody and Clearing services providing legal counsel regarding capital markets, custody and clearing, and fund administration, regulation, cybersecurity and data privacy issues related to these products. Earlier this year, Natalia took the additional role as the product Senior Counsel supporting the Citi Global Data Insights (CGDI) business advising CGDI on launching new Data products under the ICG Research and Data Insights division of the firm.

Prior to rejoining Citigroup, Natalia was in private practice working as a Tech Transaction attorney at White & Case LLP where her practice focused on sourcing and technology transactions, including drafting and negotiating software licensing, marketing, subscription, Software as a Services “SaaS”, market data and outsourcing agreements. Natalia has represented major banks and technology companies, and her experience spans transactional and advisory capacities, including complexcredit card program agreements, loyalty programs, vendor services agreements, API licenses. Prior to joining White & Case, Natalia worked for a Citigroup, where she worked closely with in-house counsel to manage and advise the consumer banking businesses and institutional client group on day-to-day matters and disputes. Natalia has also worked closely with a number of procurement team supporting a number of categories including IT products.


Ms. Rabie’s practice focuses on advising clients on a broad range of regulatory, supervisory and enforcement matters in the anti-money laundering and sanctions space. She also provides counsel on matters involving financial crimes in the context of transactions, fundraising, lending and investigations.

Prior to joining the firm, Ms. Rabie served as a managing director and associate general counsel at the Securities Industry and Financial Markets Association (SIFMA) where she was responsible for regulatory advocacy and other activities in the anti-money laundering, sanctions and other financial crime compliance areas, as well as primary capital markets and research.

Before her role at SIFMA, Ms. Rabie served as senior counsel in the Securities and Exchange Commission’s Office of the General Counsel. There, she advised on legal and policy matters relating to SEC rulemaking activities and enforcement actions. Previously in her career, Ms. Rabie served as the lead in-house counsel on corporate finance and securities law matters at a satellite communications company and worked on securities regulatory and enforcement, anti-corruption and other matters in private practice.

Ms. Rabie received her B.A. cum laude from Harvard College and her J.D. cum laude from Harvard Law School.


Charles Riely is a partner at Jenner & Block LLP.  As a lawyer at the SEC for more than a decade, he handled a number of significant matters, working extensively with criminal authorities in parallel investigations, and developing deep expertise in all aspects of the federal securities laws.  At the SEC, he received the Ferdinand Pecora Award for tenacity, creativity and efficiency. 

Mr. Riely most recently served as assistant regional director for the Division of Enforcement for the US Securities and Exchange Commission (SEC).  In that role, he led teams of lawyers in the New York Regional Office and Market Abuse Unit conducting investigations and litigations.  Mr. Riely’s matters at the SEC generally entailed highly complex issues and included some of the most significant actions filed by the SEC during his tenure.  These included matters against large hedge funds for insider trading, valuation fraud and other violations.  He was also one of the original members of the Market Abuse Unit and worked on a number of market manipulation cases as well as cases involving dark pools.

While at the SEC, he worked on matters involving disclosure failures by public companies; alleged fraud and regulatory violations by investment advisers and broker-dealers; insider trading; anti-money laundering violations; “spoofing” and other forms of market manipulation; failure-to-supervise violations; the adequacy of firms’ cyber-security procedures and protections; and a variety of other fraud and regulatory matters.

Mr. Riely also gained extensive experience coordinating investigations with the US Department of Justice (DOJ) and worked on more than a dozen publicly filed SEC enforcement actions where the criminal authorities filed a parallel case.  He also gained extensive experience working with international enforcement officials as well as the Commodity Futures Trading Commission (CFTC), the New York Attorney General’s Office, FINRA, the New York Stock Exchange and other domestic agencies.  He also consulted extensively with the compliance examiners and other professionals that conduct compliance inspections and examinations of regulated investment advisers and broker-dealers in the New York region.

Mr. Riely’s work at the firm has included representing and advising corporations and individuals in compliance, criminal defense matters, government enforcement matters, internal investigations and litigations.  This includes working on matters relating to accounting fraud, the Federal Corrupt Practices Act, the adequacy of public company disclosures, anti-money laundering, and insider trading.


Nathan Greene is a partner in the Investment Funds practice. He has extensive experience advising on the regulatory aspects of fund and investment advisory operations, and also counsels funds and financial institutions on regulatory considerations around emerging technologies like blockchain, big data and artificial intelligence. His practice includes the formation and representation of U.S. and foreign investment companies, sponsors, advisers and directors, including SEC registration, exemptions, inspections and investigations; fund formation, distribution and marketing; fund board and governance matters; compliance manuals and testing; and high-profile corporate transactions involving asset management businesses. He is particularly well-known for his representation of prominent industry participants in the registered alternatives market and has notable experience representing major players in M&A deals that have a registered fund component.

Nathan has lectured on funds regulation at prominent New York-area law schools. He is regularly quoted in prominent publications and news services, including BoardIQ, Bloomberg, Fund Board Views, Hedge Fund Law Report, Reuters and The Wall Street Journal. Nathan is in demand as a speaker, including on issues relating to big data, blockchain and artificial intelligence.

Nathan has been recognized by Chambers USA in Investment Funds: Registered Funds (2017–2018). Clients commented in the 2018 edition that “he knows the regulations inside out,” adding that “he is adept at taking complex concepts and being able to communicate them; he’s creative in finding solutions.” In the 2017 edition, clients said he is “the expert on the Investment Company Act” and “an extremely savvy lawyer who understands the complex intertwining of the business and regulatory worlds better than most.” He has also been recognized as a “Financial & Corporate Rising Star” in Investment Funds in IFLR1000 (2018) and a “Leading Individual” in Private Funds: Regulatory by Who’s Who Legal (2017). Nathan has received the prestigious “BTI Client Service All-Star” Award for outstanding client service (2015) and the Burton Award for distinguished legal writing (2013).