Erin Conklin is an associate in the asset management group in Chicago and a member of Ropes & Gray’s broker-dealer team. Erin advises asset managers with respect to various broker-dealer issues, including SEC registration and FINRA membership; Exchange Act and FINRA compliance matters; FINRA and SEC examinations; and regulatory issues in connection with mergers and acquisitions involving broker-dealers.
During law school, Erin served as senior publication editor for the Vanderbilt Journal of Entertainment & Technology Law. Prior to law school, Erin was a mutual funds paralegal at a large financial services company and worked in operations and compliance at an investment firm.
Experience
- Advises broker-dealers on a broad range of Exchange Act and FINRA rule compliance matters, including Regulation Best Interest, supervision, marketing, and recordkeeping matters.
- Counsels clients on formation, registration, and expansion of broker-dealers.
- Advises asset management firms regarding exemptions from broker-dealer registration.
- Represents broker-dealers on SEC and FINRA examinations.
- Advises clients on mergers and acquisitions involving broker-dealers and investments in broker-dealers. Representative matters include:
- TPG Inc. on broker-dealer regulatory matters in connection with its acquisition of Angelo Gordon, a $73 billion alternative investment firm focused on credit and real estate investing.
- iCapital Network in its acquisition of Axio Finance, a leading end-to-end service provider to the U.S. structured notes market.
- World Insurance Associates in its acquisition of Pensionmark Financial Group, a leading retirement and financial planning investment advisor.
- Kohlberg & Co. portfolio company U.S. Retirement & Benefit Partners, a leading provider of employee benefits and retirement planning services, in its acquisition of MidAmerica Administrative and Retirement Solutions.