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Derek Manners

Associate

Washington, D.C.

Manners Derek
Derek Manners

Associate

Washington, D.C.

Derek is an associate in the Financial Services Regulatory practice in the firm’s Washington, D.C. office. His practice focuses primarily on advising broker-dealers and investment advisers on compliance with the federal securities laws and regulations and on compliance with the rules of SROs, including FINRA.

Derek has extensive experience advising clients with respect to broker-dealer and investment adviser regulation and on all facets of ongoing compliance matters. He routinely helps broker-dealers and investment advisers in registering with the SEC and the states and on becoming members of SROs such as FINRA. He also frequently assists existing broker-dealers and investment advisers in obtaining approval to implement changes in business and changes in ownership. He also advises clients on their supervisory procedures and compliance policies and provides general regulatory advice. Derek also represents clients in enforcement actions before the SEC and FINRA.

In addition, Derek is a member of the Political Law team and represents financial services and technology clients with respect to their political law matters. This includes advising them on matters related to campaign finance, lobbying, procurement, “pay-to-play,” gifts to public officials, conflicts of interest, placement agent registration, restrictions, and disclosure, and the Foreign Agents Registration Act (FARA).

Derek’s political law experience includes federal and state government investigations, transactional due diligence, advocacy before the Federal Elections Commission (FEC), and building, maintaining, and testing compliance programs with respect to political law risk and broader anti-corruption risk.

Derek is a graduate of the University of Texas at Austin and Harvard Law School.

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Office

Washington, D.C.

1101 New York Avenue, NW
Washington, D.C.
20005

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Qualifications

Professional

Admitted: Bar of Washington DC, 2017  

Admitted: Bar of the Commonwealth of Virginia, 2016

Academic

J.D., Harvard Law School, 2016

B.A., University of Texas, 2013