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.

Mr. DiLorenzo regularly advises registered investment funds and advisers 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. He 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. 

Mr. DiLorenzo advises broker-dealer clients (institutional and retail broker-dealers) on a variety of regulatory compliance matters arising under SEC and FINRA rules and regulations and on the development and implementation of supervisory procedures. He has significant experience advising clients on the SEC’s rulemaking related to standards of conduct for broker-dealers and investment advisers (Regulation Best Interest and Form CRS), including the implications for such rulemaking on covered firms’ business, operations and customers. Mr. DiLorenzo has also regularly advised broker-dealer clients on the implications of state legislation and rulemaking in this area.

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)