Derek Manners

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.