• SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

Marlon Paz

Seward & Kissel

Marlon Paz, a partner at Seward & Kissel LLP, regularly advises broker-dealers and other financial services firms in matters related to securities regulation, SEC and FINRA enforcement, internal investigations and examinations, compliance, and white collar crime.

Marlon has substantive expertise with federal securities laws, with particular expertise with issues related to the business of broker-dealers. Marlon served in senior positions during his six-year tenure at the Securities and Exchange Commission, where he played a key role in developing the SEC’s positions on many important regulatory and enforcement matters. Marlon was part of the team dealing with the financial crisis and has worked on a number of regulatory measures, including fraud, anti-manipulation, credit ratings agency reform, the respective fiduciary duties of broker- dealers and investment advisers, hedge funds, and enhancements to capital and financial controls over broker-dealers. He handled a number of regulatory actions involving foreign financial institutions. During his tenure at the SEC, Marlon worked on more than 100 enforcement matters involving complex securities issues. He worked closely with senior members of the SEC on issues related to the oversight of the securities markets, broker-dealers, clearance and settlement, transfer agents, and credit ratings agencies.

Marlon has spent several years in private practice, focusing on complex securities litigation, corporate and fiduciary litigation, and corporate finance matters. In addition, Marlon served as the Principal Integrity Officer of the Inter-American Development Bank, where he led a team of lawyers and investigators in the development, investigation and prosecution of fraud and corruption cases, and had oversight over compliance procedures relating to issues such as integrity due diligence, anti-money laundering, offshore financial centers, and the Office of Foreign Assets Control Specially Designated Nationals List.

Marlon currently serves as the General Counsel to the D.C. Bar and as the Chair of the Trading and Markets subcommittee of the Business Law Section of the American Bar Association. He has been recognized as one of the “100 Most Influential U.S. Hispanics” by Hispanic Business Magazine. He is a Past President of the Hispanic Bar Association of D.C. and a former National Vice-President of the Hispanic National Bar Association. He has been honored with the Leadership Award from the Hispanic National Bar Foundation and appointed an Ambassador by the American Bar Association Business Law Section.

Marlon is a member of the adjunct faculty of Georgetown University Law Center, where he teaches a course on the U.S. regulation of financial institutions and the securities markets and a course on international business litigation and federal practice.

Marlon Paz will be speaking at:

The markets and SEC and CFTC developments

1970/01/01 10:50 - 11:50

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