FacultyFaculty/Author Profile
Chris Stanley

Chris Stanley

Loring Ward
General Counsel
San Jose, CA, USA


Chris is the General Counsel for Loring Ward Holdings Inc. and its investment advisory and broker-dealer subsidiaries. In this role he provides legal advice and counseling related to federal and state securities laws, SEC and FINRA rules, investment management compliance, corporate governance, risk management, transition and succession planning, and general corporate legal matters.

Chris worked for Loring Ward during law school as a part-time legal clerk, and eventually transitioned into a full-time role. His tenure at Loring Ward has included stints as Director of Compliance (from November 2009 to March 2011), Chief Compliance Officer (from April 2011 to October 2015), and General Counsel (from April 2011 to present). He also served as the Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward, from April 2011 to March 2016. Previously, he served as a Summer Associate for the law firm of Bell, Rosenberg and Hughes LLP (now Kilpatrick Townsend & Stockton, LLP).

Chris' writings are regularly featured in ThinkAdvisor, and have also been published by the Journal of Financial Planning. In addition, he has been a speaker at conference panels hosted by the Investment Adviser Association, Investment Company Institute, State Street Bank & Trust Co., National Regulatory Services and K&L Gates LLP. He has been quoted in Investment News, On Wall Street, Financial Advisor IQ, NAPFA, IAWatch, Law360 and the Los Angeles Daily Journal. His writings can be found at his personal website, beachstreetlegal.com.

Chris is an attorney admitted to the State Bar of California and the District of Columbia. He also has passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He received both a Juris Doctor and Masters of Business Administration from Santa Clara University, and a Bachelor of the Arts from Boston College.

Chris Stanley is associated with the following items:
CHB Chapters  CHB Chapters A Few Thoughts on the SEC’s Robare Decision (December 8, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Financial Planning & Regulatory Assets Under Management (August 2, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Form ADV (Paper Version): Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers, Revisions to Form ADV related to adopted rule release IA-4509 - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Advisor Reliance on Compliance Consultants Hangs in the Balance (October 29, 2015) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
U.S. Securities and Exchange Commission—Final Rule: Form ADV and Investment Advisers Act Rules, 17 CFR Parts 275 and 279 - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Advisor Conflicts of Interest: Finding and Mitigating Them (December 24, 2013) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
When and Why to Make Form ADV Updates (April 25, 2014) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
SEC to RIAs: Beware the Ides of ‘May’ (April 9, 2015) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Web Segment  Web Segment How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - Fundamentals of Investment Adviser Regulation 2017, Wednesday, June 28, 2017
MP3 Audio  MP3 Audio How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
Transcripts  Transcripts How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Investment Adviser Regulation 2017, Thursday, June 29, 2017, New York, NY
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