FacultyFaculty/Author Profile
Cece Baute  Mavico

Cece Baute Mavico

Norton Rose Fulbright US LLP

San Antonio, TX, USA


Cece Mavico joined the practice in September 2013. She specializes in securities regulatory, compliance and enforcement matters. Cece advises financial institutions on federal securities laws and rules of self-regulatory organizations and impact of these requirements on day-to-day compliance and sales supervisory programs.  She also represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Previously, she practiced in Washington, DC, served as president of a securities consulting business and worked at FINRA as a Sr. Regulatory Specialist and designated subject matter expert in variable products  With FINRA, she was a frequent speaker at conferences.  She began her career in the financial services industry over 15 years ago working for broker-dealers in marketing, compliance and sales supervisory roles.

* Admitted in New York and the District of Columbia.  Not admitted in the state of Texas.  Practice is limited to federal law matters before federal securities agencies and related self-regulatory organizations.

Representative experience

  • Developed compliance and supervisory procedures and controls in line with SEC, MSRB and FINRA regulatory requirements.
  • Audited and developed Anti-Money Laundering Programs for broker-dealers, investment advisers, and insurance companies.
  • Advised on compensation practices involving unregistered persons, proprietary vs. nonproprietary products, sales contests, continuing commissions, service fees, and referral practices.
  • Drafted regulatory submissions including FINRA and SEC comment letters, membership applications and registration materials.

Publications

  • Co-author, "AML in the Spotlight: Compliance Risks for Broker-Dealers and Investment Advisors," Vol. VII:I, Journal of Business, Entrepreneurship, & The Law
  • FINRA Rule 8210: No Documents For You?, Law360, June 24, 2013.
  • "Like" It or Not: Broker-Dealers and Social Media Access, Law360, June 28, 2012
  • SEC Proposal for Better Safeguarding Personal Information: Easier Said Than Done? (April 11, 2008)

Speeches

  • "FINRA Priorities Related to Variable Insurance Products," Annual Meeting, Association of Life Insurance Counsel, May 2014
  • IADCA (2012-2013)

Educational background

2007 - J.D., American University Washington College of Law
1999 - B.S., Finance, Trinity University

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