Bio

Robert Boresta is an accomplished and practical securities regulatory attorney with extensive international experience counseling participants in global financial markets on complex securities laws and regulations. He has comprehensive knowledge of financial services regulation and compliance matters and the rules and regulations for broker-dealers, investment advisors, credit-rating agencies and other regulated market participants. Mr. Boresta’s experience includes advising financial institutions on broker-dealer and investment adviser matters arising under federal and state securities laws and FINRA and other self-regulatory organization rules, including supervisory and compliance policies and procedures, business expansions, regulatory inquiries, examinations and investigations, internal compliance reviews, financial and operational matters, disclosure issues, and new product development. He also regularly advises managers of private funds on compliance with securities and commodities laws and rules applicable to investment advisers. His experience includes advising clients with the structuring, formation, and licensing of securities firms with the SEC, SROs and state securities authorities, and with mergers and acquisitions and restructuring transactions involving broker-dealers and investment advisers. He also has assisted clients with the preparation and negotiation of agreements and forms related to their business. From 2011 to 2016 Mr. Boresta was the senior regulatory attorney for Standard & Poor’s Global Regulatory Affairs Department (now known as S&P Global) where he was responsible to oversee the provision of regulatory advice to S&P Ratings, S&P Capital IQ and S&P Dow Jones Indices.