omoy h.
Securities Attorney & Regulatory Compliance Expert
I am a New York-admitted securities attorney and regulatory compliance professional with more than 20 years of experience in the financial services industry, including broker-dealers, investment advisers, private funds, and fintech businesses. My background includes legal, regulatory, and compliance leadership roles, including service as General Counsel and Chief Compliance Officer of an SEC-registered investment adviser.
I advise clients on securities regulation, private offerings, private fund formation, investment management, broker-dealer and investment adviser regulation, AML, privacy, and related commercial and regulatory matters. My experience includes advising on private offerings under Regulation D with Regulation S considerations, as well as fundraising alternatives under Regulation A and Regulation CF, and drafting and reviewing offering documents, fund documentation, compliance programs, and related agreements. I have extensive experience working with SEC, FINRA, and NFA regulatory frameworks and helping clients navigate complex legal, regulatory, and business challenges.
My practice includes:
• Broker-dealer and RIA registration, compliance, and regulatory matters
• Private fund formation (PPMs, LPAs, operating agreements, subscription documents)
• Regulation D, Regulation S, Regulation A, and Regulation CF offerings
• Regulatory filings (ADV, BD, U4, U5, 13D, 13G, 13F, Form 4, etc.)
• Regulatory examinations, inquiries, investigations, and remediation
• Compliance manuals, WSPs, Codes of Ethics, AML programs, and risk assessments
• Marketing and advertising compliance reviews
• Investment management agreements, advisory agreements, subscription agreements, side letters, and related documents
• Commercial agreements, NDAs, service agreements, and privacy policies
• Fintech, digital asset, MSB, and money transmission considerations and related regulatory matters
I am admitted to practice in New York and hold the CAMS (AML), CIPP/US (privacy), and CCEP (compliance and ethics) certifications.