Provide legal support to business units with respect to equity sales and trading platform, focusing on equity finance (margin lending, equity repo, securities lending, delta-one swaps)
Support LP fund financing, full-recourse margin lending, equity repo, securities lending and delta-one equity swaps
Provide legal guidance on margin lending regulations, FINRA, Reg T, and Reg U compliance
Provide guidance on Dodd-Frank and rules applicable to Security-Based Swaps and Security-Based Swap Dealers
Draft and negotiate credit agreements, loan agreements and related fund financing and margin lending documentation
Draft and negotiate securities financing documentation, including MRAs and MSLAs and equity swap MCAs; maintain and enhance standard documentation templates
Partner closely with Credit, Market Risk, Collateral Management, Operations, and other internal stakeholders to address legal, operational and...
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