LAURI LONDON

Attorney involved in providing legal, compliance and business advice to financial services providers, employees, pension plan advisers, law firms and accountants on a number of complex issues including investment adviser regulation, executive compensation and employee benefits. Prior experience includes more than 10 years as Chief Compliance Officer and in-house counsel to registered investment advisers following experience as an associate in a general corporate practice in a large law firm, and audit and internal accounting and regulatory reporting in the financial services industry. Deep experience and expertise in investment adviser regulation and compliance, including SEC examinations, drafting of P&P and developing compliance programs.

LOCATION: Miami-Boca Raton-Ft. Lauderdale, FL

LICENSED TO PRACTICE IN: New York, Florida

CURRENT FIRM: Cohen & Buckmann pc

PRIOR FIRM(S): Katten Muchin Rosenman

LAW SCHOOL: Columbia University

PRACTICE AREA(S):

Corporate and Securities

(Securities Reporting and Regulation)

Investment Funds

(Compliance)

Compensation and Benefits

(Employment Agreements)

INDUSTRY: Investment Adviser Law, Employment Law, Executive Compensation

NOTABLE ROLES/EXPERIENCE: Served as General Counsel and Chief Compliance Officer of Ark Asset Management, Co., Inc. for 9 years; Served as Chief Compliance Officer and counsel of Boston Private Wealth and predecessor for 4 years.


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