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.
- Advised a dually-registered investment adviser and broker-dealer in regulatory investigations by the SEC, FINRA and state securities regulators relating to the institution’s supervisory obligations.
- Counseled newly registered investment advisers on their adoption and implementation of compliance programs.
- Advised investment advisers and broker-dealers on the regulatory implications of offering new products and funds.
- Conducted internal investigations for investment adviser and broker-dealers.
- Represented a dually-registered investment adviser in an enforcement matter regarding its books and records and production obligations.
- Counseled investment advisers on updates to their compliance programs in response to the SEC’s amendments to the Marketing Rule.
- Advised a foreign investment manager on its registration and compliance obligations with respect to SEC, CFTC and NFA requirements in connection with its U.S. activities.
- Advised a broker-dealer on the design and implementation of a revised anti-money laundering compliance program.
Duke University School of LawJD
The Pennsylvania State UniversityBA
summa cum laude2008
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Selected for inclusion in Best Lawyers: Ones to Watch, Banking and Finance Law, 2021-2024; Corporate Law, Mergers and Acquisitions Law, 2022, 2023, 2024
- Author, Despite $100M Settlement With SEC, BlockFi Still Under Fire From Investors, Consumer FinSights, March 10, 2022
- Author, SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert, Subject to Inquiry, January 31, 2022
- Author, SEC’s Continuing Focus on Advisory Fees Reflected in EXAMS Risk Alert, Chair Gensler’s Comments, Subject to Inquiry, November 15, 2021
- Author, FINRA Reminder: Broker-Dealers Should Not Forget to Supervise Third-Party Vendors, Subject to Inquiry, August 24, 2021
- Author, Women in PE to Know: Christie McFall, McGuireWoods Legal Alert, May 27, 2021
- Author, SEC Announces 2021 National Examination Priorities, Subject to Inquiry, March 4, 2021
- Author, Recent SEC and FINRA Guidance to Impact Firms’ COVID-19 — and Post-COVID-19 — Operations, McGuireWoods Legal Alert, August 26, 2020
- Author, Women in PE to Know: Carrie DiLauro, McGuireWoods Legal Alert, August 18, 2020
- Author, Update No. 9: Financial Services Regulators and SROs Continue to Address COVID-19 Impact, McGuireWoods Legal Alert, May 21, 2020
- Author, Update No. 8: FINRA Continues to Address COVID-19 Impact on Financial Industry, McGuireWoods Legal Alert, May 14, 2020
- Author, SEC Reiterates, Refines Reg BI Stance on Broker-Dealers’ Use of “Adviser” and “Advisor” Titles, McGuireWoods Legal Alert, May 11, 2020
- Author, Update No. 7: SEC Urges Municipal Issuers to Voluntarily Expand Disclosures, McGuireWoods Legal Alert, May 7, 2020
- Author, Update No. 6: Financial Regulators, SROs Continue Providing COVID-19-Related Relief, McGuireWoods Legal Alert, April 28, 2020
- Author, Update No. 5: Financial Regulators, SROs Continue Providing COVID-19-Related Relief, McGuireWoods Legal Alert, April 21, 2020
- Author, Update No. 4: Financial Regulators Continue Issuing COVID-19-Related Relief, McGuireWoods Legal Alert, April 15, 2020
- Author, SEC Issues Regulation Best Interest Risk Alerts, After Declining to Delay Compliance Date, McGuireWoods Legal Alert, April 9, 2020
- Author, Financial Services Regulators and SROs Continue to React to COVID-19 Developments, McGuireWoods Legal Alert, April 6, 2020
- Author, Financial Services Regulators Continue to Roll Out COVID-19 Guidance and Relief, McGuireWoods Legal Alert, March 26, 2020
- Author, New COVID-19 Guidance From Securities Regulators and Industry Associations, Subject to Inquiry, March 17, 2020
- Author, SEC Continues Compensation Disclosure Focus With FAQs and Enforcement, Subject to Inquiry, November 20, 2019
- Author, Broker-Dealers: Be Ready for Questions About Regulation Best Interest Compliance, Subject to Inquiry, October 21, 2019
- Author, Up-and-Coming Women in PE to Know: Becca Schlagenhauf, McGuireWoods Legal Alert, October 4, 2019
- Author, Securities Enforcement Update: SEC Agenda Will Focus on Transparency, McGuireWoods Legal Alert, November 14, 2017
- District of Columbia
- North Carolina
- Speaker, "What to Expect in Your Next Exam (and How to Prepare)" and "What to Expect in the Initial Stages of Regulation Best Interest", Mid-2020, What to Expect… A Look Toward the Future, July 8 & August 5, 2020