Nicole D. Horowitz
Nicole Horowitz represents investment advisers in all aspects of Advisers Act compliance, drawing on her litigation and enforcement experience to anticipate potential risk. As a member of the private funds regulatory practice, she assists clients in registering as investment advisers with the SEC and in developing their compliance programs. She also advises them on other regulatory matters as compliance questions arise and new rules are adopted. She regularly prepares clients for and advises them on SEC examinations.
Prior to joining the private funds regulatory practice, Nicole spent several years in Ropes & Gray’s litigation and enforcement group. In that role, she advised clients in the development and enhancement of their compliance programs, internal investigations, and enforcement matters, with a focus on securities and anti-corruption/anti-bribery issues. Nicole also counseled private equity sponsors, investment advisers, and multinational companies on international risk issues related to transactions and investments. She represented clients in a broad range of civil litigation, including securities, antitrust, and complex commercial disputes. This included all stages of litigation, including drafting pleadings and dispositive motions, managing all aspects of discovery, and representing clients at depositions and hearings.
Nicole holds a Masters in Art Business and previously worked for a major art collector. Given her background in the arts and fluency in Spanish, she has focused her pro bono efforts on advising arts organizations, such as the San Francisco Museum of Modern Art (SFMOMA), and obtaining grants of asylum for clients from Central America. Stemming from the relationship with SFMOMA, Nicole completed a secondment in 2018 during which she assisted the museum in establishing its litigation protocols, among other projects.