FacultyFaculty/Author Profile
Emily P. Gordy

Emily P. Gordy

McGuireWoods LLP

Washington, DC, USA


Emily counsels broker-dealer and investment advisor clients, and is a member of the firm’s commercial litigation practice team. Through her wide-ranging regulatory experience, Emily has developed extensive contacts in the securities regulatory community, including regulators (state, federal, and SRO), in-house, and the defense bar.

Drawing from her wealth of experience at all levels of securities regulation, she handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisors, investment companies, and public companies. Emily has extensive anti-money laundering (AML) experience, as well as substantial knowledge in other regulatory areas, including supervision, suitability, disclosure, books and records, membership application, and statutory disqualification. Emily is also well-versed in examination and enforcement practices and policies of the financial services regulators.

Prior to joining McGuireWoods, Emily served as Deputy General Counsel, Executive Vice President for one of the largest retail investment advisory firm and independent broker/dealers. She also worked as a Financial Industry Regulator, having served as a Senior Vice President with responsibilities for various functions within the Enforcement Division of Financial Industry Regulatory Authority, Inc. (FINRA). Additionally, she was Policy Director in the Member Regulation Department of the National Association of Securities Dealers, as well as Deputy Chief Counsel of the Division of Enforcement at the Securities and Exchange Commission.

While at FINRA, Emily provided guidance on privacy regulatory obligations and enforcement cases involving data breaches. As in-house counsel, she provided counsel on the firm’s data privacy and security efforts, advising on compliance measures, incident response, regulatory examination, and notification of regulators in the event of a breach.

Emily P. Gordy is associated with the following items:
CHB Chapters  CHB Chapters Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, Conflicts, Conflicts Everywhere—Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View (February 26, 2015) - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
U.S. Securities and Exchange Commission, Division of Enforcement, Share Class Selection Disclosure Initiative, Questionnaire for Self-Reporting Advisors - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report, A Look Back at Fiscal Year 2017 - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
FINRA, Report on Conflicts of Interest (October 2013) - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program Examination Priorities - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
U.S. Securities and Exchange Commission, Announcement, Share Class Selection Disclosure Initiative (February 12, 2018) - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
Fiduciary Investment Advice and Conflicts of Interest—Litigation, Enforcement, and Regulatory Priorities - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
FINRA: 2018 Annual Regulatory and Examination Priorities Letter (January 2018) - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
Administrative Complaint, In re: Scottrade, Inc., Dkt. No. E-2017-0045 (Mass. Feb. 15, 2018) - Fiduciary Investment Advice 2018, Thursday, May 10, 2018
Web Segment  Web Segment Fiduciary Investment Advice: Litigation and Enforcement Perspectives - Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Friday, May 11, 2018
MP3 Audio  MP3 Audio Fiduciary Investment Advice: Litigation and Enforcement Perspectives - Fiduciary Investment Advice: Litigation and Enforcement Perspectives, Friday, May 11, 2018
Transcripts  Transcripts Fiduciary Investment Advice: Litigation and Enforcement Perspectives - Fiduciary Investment Advice: Litigation and Enforcement Perspectives, Friday, May 11, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Fiduciary Investment Advice: Litigation and Enforcement Perspectives - Fiduciary Investment Advice: Litigation and Enforcement Perspectives, Friday, May 11, 2018
On-Demand Web Programs  On-Demand Web Programs Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Thursday, May 17, 2018, New York, NY
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