Aline’s practice focuses on financial services regulatory matters that impact investment advisers, broker-dealers and funds.
Aline works with U.S. and non-U.S. investment managers, broker-dealers and funds on matters arising under the Investment Company Act, Advisers Act, CFTC regulations, and FINRA, SEC and NFA requirements affecting their businesses.
Aline advises investment advisers in the analysis of various Advisers Act questions, in drafting investment advisory agreements, preparation of marketing materials, compliance policies and procedures and Form ADV filings. She also works with investment managers and broker-dealers involved in regulatory investigations and securities enforcement matters including, the SEC, FINRA and state regulators. In addition, Aline advises clients regarding their anti-money laundering compliance obligations.
Aline has advised clients on a wide variety of regulatory issues, including those relating to private equity transactions. She has also advised U.S. registered funds and their boards on a variety of compliance and disclosure matters and has extensive experience with investment company registration matters. She also has experience preparing materials for fund board meetings and attending board meetings.
The rules of professional conduct in some jurisdictions require disclosure of selection methodology for certain public accolades and recognitions. Click here to view available selection methodologies.
Selected for inclusion in Best Lawyers: Ones to Watch, Banking and Finance Law, 2021, 2022; Corporate Law, Mergers and Acquisitions Law, 2022