Jennifer O'Brien

Jennifer O’Brien focuses her practice on financial services matters, specifically investment funds including mutual funds and private funds. She regularly counsels investment advisers, investment companies (and their independent directors) and other financial institutions in regulatory, corporate and compliance matters, including registrations, regulatory filings, compliance policies and procedures, marketing and disclosure obligations. Ms. O’Brien also advises on the establishment, regulation and cross-border marketing of investment funds, including UCITS and non-UCITS.

Ms. O’Brien has experience counseling sponsors regarding the structuring, formation and ongoing regulatory requirements of venture capital funds, private equity funds, hedge funds, fund-of-funds and other types of private investment structures that utilize a broad range of strategies.

She also has experience in advising broker-dealers on the broker-dealer registration process and federal and state securities law issues, including the SEC’s standard of conduct for broker-dealers, as well as the rules and policies of FINRA and other financial services industry regulators.