Dwight W. Quayle
Win focuses his practice on broker-dealer registration and regulation. Working with clients in the mutual fund, private equity, investment banking, investment management and real estate industries, he advises on such topics as firm and individual registration with the SEC, self-regulatory organizations and the states; general corporate matters; compliance, supervision and reporting; advertising and sales literature; product distribution; regulatory inspections and examinations; including enforcement referrals; internal investigations; and changes in control and acquisition issues, including acquisitions and investments initiated by the firm’s private equity and institutional investor clients.
Win is a former head of the firm’s corporate department and former general counsel of the firm.
- Represents TPG Capital and Bain Capital on broker-dealer matters.
- Advises private equity and private fund sponsors and other investment advisers on broker-dealer registration and exemption issues.
- Advises a Swiss private bank and affiliates, and a foreign PE platform operator, on broker-dealer matters.
- Quoted, “Broker Relief Called a Boon To PE Firms,” Compliance Intelligence (February 10, 2014)
- Quoted, “ABA, SEC Discuss Private Adviser B/D Registration Relief,” Compliance Intelligence (January 15, 2014)