K&L Gates has added Tim Foley as a partner in its Asset Management and Investment Funds practice in Washington, D.C., strengthening its broker-dealer regulatory, enforcement and trading capabilities. Foley joins K&L Gates from Linklaters.
He advises U.S.-registered broker-dealers and other financial institutions on matters involving the SEC, FINRA, self-regulatory organizations and state and foreign regulators.
His practice includes regulatory compliance involving trading and sales practices, corporate transactions, internal investigations and regulatory risk management.
Foley also advises on institutional trading, retail sales, fund distribution and underwriting, investment banking, electronic trading, cross-border fund distribution and marketplace regulatory issues.
His enforcement experience includes FINRA matters involving market manipulation, fair pricing, trade reporting and short sales.
K&L Gates’ Asset Management and Investment Funds practice includes more than 150 lawyers across Asia, Australia, Europe, the Middle East and North America.
KEY QUOTES:
“Tim’s arrival further enhances the firm’s ability to advise asset managers, fund sponsors, broker-dealers, and other market participants navigating an increasingly complex regulatory environment. His perspective adds an important dimension to our global platform and his talents will increase our value to clients operating in today’s evolving financial markets.”
Mark Amorosi, Leader Of K&L Gates’ Asset Management And Investment Funds Practice
“Tim will be especially valuable to the firm given his experience working with complex regulatory agencies such as the SEC and FINRA. His addition strengthens our ability to provide sophisticated, strategic counsel across the asset management, investment funds, and financial services sectors.”
David Wochner, Washington, D.C. Office Managing Partner At K&L Gates
