Nicole Horowitz is an associate in Ropes & Gray’s asset management group within the private funds regulatory practice. She previously practiced in the firm’s litigation and enforcement group for several years and draws on that experience to anticipate and assist with addressing potential risks that her clients may encounter. She advises private fund advisers on a broad range of regulatory matters as compliance questions arise and new rules are adopted, as well as on SEC examinations.
- Advises investment advisers on various regulatory obligations and compliance matters.
- Assists private fund advisers in registering as investment advisers with the SEC and in developing their compliance programs.
- Conducts reviews of compliance programs and analyses of conflicts, including through mock SEC exams.
- Counsels investment advisers in connection with SEC examinations and enforcement matters, including responses to deficiency letters.
In prior role in litigation and enforcement practice group:
- Advised clients in the development and enforcement of compliance programs, internal investigations, and enforcement matters with a focus on securities and anti-corruption/anti-bribery issues.
- Counseled investment advisers and multinational companies on international risk issues related to transactions and investments.
- Represented clients in a broad range of civil litigation, including securities, antitrust, and complex commercial disputes.
- Completed a secondment at the San Francisco Museum of Modern Art (SFMOMA).