Emily advises her clients as they navigate complexities inherent in the securities-regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, fintech companies, investment advisers, investment companies, and municipal securities dealers.
Emily has extensive anti-money laundering (AML) experience. At the Financial Industry Regulatory Authority (FINRA), she was involved in development of key AML regulatory guidance issued by FINRA and regularly coordinated with the Securities & Exchange Commission (SEC) staff on responding to developing issues in the AML space. Emily also served as FINRA’s liaison to the Bank Secrecy Act Advisory Committee (BSAAG), a key Treasury, financial regulator, and industry AML advisory group. Emily also advised on AML issues arising in examinations and enforcement cases. While in-house at a large broker-dealer/investment adviser, Emily advised the AMLCO and various AML Committees on a variety of KYC/CIP and SAR policy issues. In her current practice, Emily has advised broker-dealers/investment advisers, banks, and Fintech companies on a variety of AML issues.
Emily also has extensive experience in a variety of other SEC/FINRA regulatory areas, including, among others, Regulation Best Interest, supervision, conflicts of interest, suitability, disclosure, books and records, and registration and licensing issues, including statutory disqualifications. While at FINRA, Emily also provided guidance on privacy regulatory obligations and enforcement cases involving data breaches. As in-house counsel, she provided counsel on the firm’s data privacy and security efforts, advising on compliance measures, incident response, and regulatory examinations.
Having spent over twenty-seven years at the SEC and FINRA, Emily is also well-versed in the examination and enforcement practices, policies, and expectations of financial services regulators.
Prior to joining McGuireWoods, Emily served as Deputy General Counsel, Executive Vice President for one of the largest retail investment broker-dealer/investment advisory firms. Prior to going in-house, Emily served in a variety of senior management positions within FINRA’s Enforcement and Member Supervision Departments, at one point serving as Deputy Head of Enforcement. At the SEC, Emily served as Deputy Chief Counsel of the Division of Enforcement.