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Austin Compliance Roundtable - Sep. 2019

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Winstead PC - Conference Room

401 Congress Avenue

Suite 2100

Austin, TX 78701

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Evolutions in Regulatory Standards: The New and the “Older”

We consistently hear that the “fiduciary standard” and “senior investors” are top priorities for the financial services industry and its various regulators. However, we often cannot spend enough time diving into the “weeds” to discuss practical issues surrounding both. So join us as we visit with Andrew Rosell and Ronak Patel of Winstead PC in taking a closer look at how financial service firms and their compliance leaders can best handle the evolving standards on two key fronts.

  • “Senior” Investors and Aging Financial Advisors: What do the new elder investor laws mean for financial services firms? What are regulatory focus areas tied to senior investors? What are best practices within firms for managing regulatory/civil litigation risk associated with efforts intended to protect senior investors?
  • Regulation BI/the fiduciary standard: While much of the focus in on broker-dealer practices, there are also plenty of considerations for investment advisers including, in particular, the new Form CRS. Understanding what Form CRS requires and the purposes behind the requirements will help your firm be best prepared to file the form in early 2020.

Speakers: Andrew Rosell is a member of Winstead's Corporate, Securities/Mergers & Acquisitions Practice Group. Andrew has a diverse corporate and securities practice representing wealth managers, mutual fund managers, private investment fund managers, family offices and public and private companies engaged in mergers and acquisitions. He has experience representing registered investment advisers in all aspects of their business, including: formation, investment portfolio transactions, due diligence, regulatory compliance, fund formation and liquidation and business cessation.

Andrew is the former General Counsel and Chief Compliance Officer at Kleinheinz Capital Partners, Inc., a multi-billion dollar SEC registered investment adviser. During his tenure at Kleinheinz Capital Partners, Inc., he managed the compliance program and legal functions. Prior to attending law school, Andrew was a staff auditor with Ernst & Young LLP, focusing on real estate audit and consulting.

Ronak Patel is a member of Winstead’s Litigation Practice Group and Securities Litigation & Enforcement Practice Group. He focuses on a wide range of securities regulatory and litigation matters. He is an experienced litigation attorney who possesses extensive regulatory experience with securities regulatory agencies across the U.S. Before establishing his private practice, Ronak served as Deputy Securities Commissioner of Texas. He held numerous leadership positions with the North American Securities Administrators Association (NASAA), working very closely with state and federal securities regulators across the country. As a regulator, he led the prosecution of a number of high profile investigations involving matters such as the 2008 failure of the auction rate securities market, Ponzi schemes, broker misconduct and complex investment products. Patel now draws on that experience to navigate broker-dealers and investment advisers through complex regulatory investigation, enforcement actions, and litigation involving allegations such as failures to supervise, fraud, and breach of fiduciary duty.

Ronak practices before state securities regulators around the country, the Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority (FINRA). He represents broker-dealers, investment advisers, hedge funds and other private funds, public companies, asset managers, gate-keepers, and other institutions in government investigations, securities law enforcement matters and related litigation.

Austin Location: The meeting will take place in the Winstead’s conference room located at 401 Congress Avenue, Suite 2100, Austin, TX 78701.

Lunch: Winstead is also sponsoring the food for this event. Please thank Andrew and Ronak for feeding you!

Please RSVP by Friday, September 20th. Please have each person from your organization register individually so that they will each receive a name tag.


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Winstead PC - Conference Room

401 Congress Avenue

Suite 2100

Austin, TX 78701

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