Beth D. Kiesewetter is an associate in Morgan Lewis's Investment Management and Securities Industry Practice. Ms. Kiesewetter counsels investment companies, investment advisers, and broker-dealers regarding anti-corruption, anti-money laundering, and financial privacy requirements at the federal, state, and self-regulatory organization level, which impact client relationships, distribution channels, portfolio investments, and private equity transactions within the United States and abroad.
In addition, Ms. Kiesewetter provides regulatory guidance in connection with mergers and acquisitions involving investment companies, investment advisers, broker-dealers, alternative trading systems, and exchanges. Such engagements have involved defining the scope of regulatory due diligence, drafting regulatory provisions to be incorporated in deal documents, determining whether client agreements may be assigned, filing of initial or continuing membership applications with self-regulatory organizations and exchanges, and providing ongoing regulatory guidance after closing.
Ms. Kiesewetter also often represents broker-dealers in responding to Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) examination findings, market regulation inquiries, and enforcement actions relating to registration requirements, gifts and entertainment, sales practices, advertisements and sales literature, anti-money laundering program compliance, and related supervisory issues.
Prior to entering private practice, Ms. Kiesewetter was the manager of membership of NASD Regulation, Inc. (now FINRA), with responsibility for supervising the national membership application program and the national statutory disqualification programs. Ms. Kiesewetter also served as a regional broker-dealer liaison in the SEC's Office of Compliance Inspections and Examinations, with responsibility for managing the broker-dealer examination programs of several SEC Regional and District Offices and participating in exchange inspections. Before that, Ms. Kiesewetter was an examiner in the SEC's San Francisco District Office, with responsibility for conducting examinations of broker-dealers and investment advisers.
