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Ryan F. Helmrich

Ryan F. Helmrich advises fund complexes, investment managers, broker-dealers, and asset servicing providers on a broad range of investment management regulatory and transactional matters. These include the establishment, representation and reorganization of open- and closed-end funds and exchange-traded funds (ETFs), their advisers and listing markets. He also counsels asset managers on a range of regulatory issues, including registration, interpretive guidance, new product development, regulatory examinations and enforcement actions. He regularly assists clients in conducting internal compliance audits and in developing and maintaining compliance programs. Ryan has broad experience assisting private fund sponsors with formation, advertising, and ongoing regulatory compliance.

Ryan regularly represents financial institutions and other asset service providers regarding the negotiation of servicing agreements and derivatives-trading arrangements, as well as other matters affecting their domestic and global asset-servicing activities (custody, administrative, sub-accounting, and transfer agency).

Ryan has deep private sector experience, having served as Director and Assistant General Counsel with Bank of America Merrill Lynch, where he advised the Chief Investment Office and global wealth management division, focusing on new product development and augmentation, cross-product issues, performance reporting and advertising, product supervision, risk management, internal audit, and compliance. He also led a legal team in the transition of legacy Merrill Lynch investment platforms, which included registered funds, 529 Plans and alternative investments, and supported the Wealth Management and U.S. Trust advisory platforms with new product origination, distribution, client and third-party relationships, and trading issues.

取扱分野

実績紹介

  • Bank of America Merrill Lynch, 2008-2012
    • Director & Assistant General Counsel, 2010-2012
    • Vice President & Counsel, Merrill Lynch, 2008-2010
  • Associate, PricewaterhouseCoopers, 1997-2000
  • Intern, FINRA, 2002-2003
  • Summer Honors Associate, U.S. Securities and Exchange Commission, 2002

受賞歴・所属団体

  • Member, American Bar Association

学歴・資格・言語

学歴
  • 法務博士, cum laude, The Catholic University of America, Columbus School of Law, 2004
    • Managing Editor, Catholic University Law Review
  • 学士号, American University, 1999
弁護士資格
  • Pennsylvania
  • 米国 ニューヨーク州
  • New Jersey
  • コロンビア特別区