Nicholas DiLorenzo

nicholas-dilorenzo

Nicholas DiLorenzo

Associate

Boston | One International Place, 40th Floor, 100 Oliver Street, Boston, MA, United States of America 02110-2605
+1 617 728 7171 | +1 617 426 6567


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Nicholas DiLorenzo is an associate in the financial services group. Mr. DiLorenzo advises U.S. registered investment companies, investment advisers, independent directors/trustees, and registered broker-dealers on a wide variety of regulatory, compliance, operational, fund governance, and fiduciary oversight matters. With respect to registered investment funds and advisers, Mr. DiLorenzo regularly advises on the development and registration of new fund products, fund and adviser compliance programs and codes of ethics, general fund and adviser compliance matters, the impact of proposed and new SEC rulemakings, and other portfolio management-related matters. With respect to broker-dealers, Mr. DiLorenzo regularly advises on a variety of regulatory issues affecting broker-dealer clients under SEC and Financial Industry Regulatory Authority rules, including Regulation Best Interest. He also has experience seeking exemptive and no-action relief from the SEC Staff and representing clients in SEC investigations and enforcement matters.

Mr. DiLorenzo also regularly advises fund sponsors on the regulatory implications of utilizing environmental, social, and governance (ESG) factors in the investment process. 

Education
  • New York University, Leonard N. Stern School of Business, B.S., 2009
  • Boston University School of Law, J.D., 2012, Dean’s Award for Mutual Funds, Edward F. Hennessy Scholar, Article Editor of the Boston University Law Review
Admissions
  • Massachusetts
  • New York
Speaking Engagements
  • SEC Hot Topics for Broker Dealers — Broker-Dealer Accounting Virtual Conference 2020, Webcast (June 16, 2020)