Speaker details

Biography

With more than 20 years of experience in the financial services industry, Ethan Corey is a seasoned investment management lawyer. Ethan has deep knowledge in distribution issues (including FINRA rules), as well as those related to the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Ethan has also counseled clients on matters related to Municipal Securities Rulemaking Board (MSRB) rules and regulations set forth by the Commodity Futures Trading Commission (CFTC), as well as the UK Financial Conduct Authority's (FCA) Conduct of Business Rules and European legislative frameworks such as MiFID II. Ethan is a recognized industry leader in the financial services area and a frequent speaker at conferences and seminars and has authored articles on a wide variety of securities regulation issues. Ethan has also been an effective advocate with regulators as a member of industry trade groups. He combines an extensive knowledge of the regulatory and statutory framework with a practical perspective that he brings to the issues. Prior to joining Eversheds Sutherland, Ethan was a partner in the financial services practice of a national law firm and spent more than 14 years as an attorney at a global investment management company where he was senior vice president and associate general counsel. In this role, he oversaw global regulatory initiatives and supervised the legal department's distribution, regulatory and corporate group, which supported the company's institutional investment advisory business. Ethan began his career as an attorney-adviser in the Division of Market Regulation in the Securities and Exchange Commission (SEC). He later served as a senior counsel in the Division of Investment Management at the SEC and as counsel in the financial services practice of an international law firm.