Robert J. Rhatigan

Robert J. Rhatigan focuses his practice on financial services regulation, including financial institutions and broker-dealer regulation, registered funds and private funds.

Mr. Rhatigan advises registered funds and their boards and investment advisers on a variety of operational, compliance and disclosure matters. He also is actively engaged in the firm’s banking and financial institutions practice. He works with large non-bank financial holding companies as well as banks, broker-dealers and asset managers on matters arising under the Dodd-Frank and Bank Holding Company Acts. He has significant experience guiding clients through conformance with the Volcker Rule and systemic risk regulation. He also has experience with a variety of transactional, regulatory and enforcement issues related to national and state chartered banks and credit unions, as well as government sponsored entities.

He also has extensive experience in advising broker-dealers on federal and state securities law issues, including the SEC’s new standard of conduct for broker-dealers, as well as the rules and policies of FINRA, FinCEN and other financial services industry regulators. Mr. Rhatigan also guides entities through the broker-dealer registration process, including novel issues related to the registration of blockchain and crypto-currency platforms under Regulation ATS. Mr. Rhatigan also helps financial institutions in various fund distribution matters and cross-border distribution issues.

Mr. Rhatigan also advises financial institutions and asset managers on all areas related to compliance with the Bank Secrecy Act and related FinCEN anti-money laundering regulations.