Michael P. McDonald

Michael primarily represents investment advisors and broker-dealers, providing regulatory counseling services to firms at all stages of their development. Michael specializes in providing legal and compliance support for investment advisors and broker-dealers to assist them in navigating financial services regulation, examinations and enforcement proceedings. To his practice, he brings experience as an in-house counsel and senior compliance analyst at an RIA with approximately $80 billion in AUM, as well as in-house experience at a dually registered Broker-Dealer. Michael has also worked as a Regulatory Affairs Counsel at the Financial Services Institute and has spent time working with the Investment Adviser Association and the SEC's Divisions of Enforcement and Trading and Markets.

Michael has significant, hands-on experience managing compliance programs, including drafting regulatory filings, managing and monitoring a code of ethics, reviewing and approving marketing materials as well as responding to requests from clients and regulators. Michael has been recognized by Best Lawyers as "One to Watch" in the fields of Securities Regulation, Banking and Finance Law and has provided his insight to Financial Advisor IQ. His thought pieces on investment advisor and broker-dealer compliance have been published by Law360 and NYU's Program on Corporate Compliance.