FacultyFaculty/Author Profile

Christopher M. Salter

Allen & Overy LLP

Washington, DC, USA


Chris Salter

Practice(s):
Asset management , Derivatives and Structured Finance, Financial Institutions, Financial Services, Investment Funds and Structures, Private Equity, Regulatory Investigations and White Collar Defense

Education: J.D., George Mason University School of Law, 1995; B.B.A, cum laude, James Madison University, 1989

Experience
Mr. Salter's practice focuses primarily on advising financial institution clients, and specifically broker-dealers, investment advisers, private equity funds, and hedge funds on compliance with the federal securities laws and regulations and on compliance with the rules of the self-regulatory organizations (SROs), including the Financial Industry Regulatory Authority.

Chris has extensive experience advising clients with respect to broker-dealer and investment adviser regulation. He routinely  helps brokerdealers and investment advisers in registering with the SEC, the states and becoming members of SROs. Chris routinely advises clients on their supervisory procedures and compliance policies, and assists clients with the development o f their policies and procedures.

Previously, Chris worked at the U.S. Securities and Exchange Commission (SEC) as an Attorney in the Division of Market Regulation. While at the SEC, Chris responded to requests from broker-dealers and self-regulatory organizations for interpretation, guidance, and no-action relief with regard to the SEC’s broker-dealer financial responsibility rules, including the net capital rule, the customer protection rule, the books and records rules and the financial reporting rules. Chris also is a Certified Public Accountant who worked as an Audit Manager for the U.S. Government Accountability Office and as a Staff Accountant for KPMG Peat Marwick, where he obtained extensive accounting and financial regulatory experience.
Christopher M. Salter is associated with the following items:
Treatise Chapters  Treatise Chapters Collateral Consequences for Broker-Dealers and Associated Persons - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Collateral Consequences for Investment Advisers & Associated Persons - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Friday, June 22, 2018
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