FacultyFaculty/Author Profile
Peter E. Haller

Peter E. Haller

Willkie Farr & Gallagher LLP

New York, NY, USA


Peter E. Haller is a partner in the Executive Compensation & Employee Benefits Department and practice leader for ERISA fiduciary issues.

Mr. Haller advises clients on their employee benefit plans and programs, with an emphasis on the fiduciary responsibility and prohibited transaction rules under ERISA, including the DOL guidance and court decisions arising out of the Fiduciary Rule and related exemptions.  He has significant experience with ERISA issues raised by hedge funds, private equity funds and financial institutions and their broker-dealer, asset management and private bank affiliates.  Mr. Haller represents clients with their prohibited transaction exemption requests before the Department of Labor’s Employee Benefit Security Administration. He also advises on ERISA and other employee benefits matters in connection with corporate transactions involving asset management and financial services firms.

Mr. Haller chairs the New York City Bar Association subcommittee on ERISA Fiduciary Duties, Private Equity and Plan Investments.  Mr. Haller also serves as an adjunct professor and teaches a class with Barry Barbash at Georgetown University Law Center and Howard University Law School on ERISA Fiduciary Duties and the Regulation of Private Funds.  He is also a frequent speaker and lecturer on a wide variety of employee benefits and ERISA related topics.

PRIOR EXPERIENCE

Prior to returning to Willkie in 2015, Mr. Haller was counsel for Credit Suisse in New York, where he served as the global head of the ERISA and Executive Compensation practices, and head of the U.S. Bank Regulatory practice.  In this role, he advised Credit Suisse with the development and offering of complex financial products in their investment banking and asset management divisions.  Mr. Haller is also a Certified Public Accountant.         

BAR ADMISISONS

Mr. Haller is admitted to the Bars of the States of New York, Massachusetts and Maine. 

EDUCATION

Mr. Haller received a JD from Boston College Law School in 1993 and a BS in accountancy (cum laude) from Bentley College in 1988, where he received the Falcon Society Award for academic achievement.           

Peter E. Haller is associated with the following items:
CHB Chapters  CHB Chapters U.S. Securities and Exchange Commission, Adoption of Temporary Rule, Certain Broker-Dealers Deemed Not To Be Investment Advisers—Release Nos. 34-50979; IA-2339; File No. S7-25-99 (January 7, 2005) - Investment Management Institute 2018, Thursday, March 22, 2018
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Public Statement, Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Request for Data and Other Information, Duties of Brokers, Dealers, and Investment Advisers—Release No. 34-69013; IA-3558; File No. 4-606 - Investment Management Institute 2018, Thursday, March 22, 2018
Testimony Before the United States Senate Committee on Banking, Housing and Urban Affairs on Oversight of the U.S. Securities and Exchange Commission, by Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Washington, D.C. (September 26, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law and Governance, Investor and Industry Perspectives on Investment Advisers and Broker-Dealers (2008) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Study on Investment Advisers and Broker-Dealers (January 2011) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Public Law 111–203, Dodd-Frank Wall Street Reform and Consumer Protection Act, Sec. 913, Study and Rulemaking Regarding Obligations of Brokers, Dealers and Investment Advisers (July 21, 2010) - Investment Management Institute 2018, Thursday, March 22, 2018
Investment Products and Technology in the Post-DOL Fiduciary Rule Environment (PowerPoint slides) - ERISA 2018: The Evolving World, Monday, August 06, 2018
Peter E. Heller and Mary Eaton, Willkie Farr & Gallagher LLP Client Alert, Fifth Circuit Overturns DOL Fiduciary Rule (March 19, 2018) - ERISA 2018: The Evolving World, Monday, August 06, 2018
Web Segment  Web Segment Investment Management: New Fiduciary World - Investment Management Institute 2018, Wednesday, May 02, 2018
ERISA: Platforms and Investment Products - ERISA 2018: The Evolving World, Wednesday, August 08, 2018
MP3 Audio  MP3 Audio Investment Management: New Fiduciary World - Investment Management: New Fiduciary World, Wednesday, May 02, 2018
ERISA: Platforms and Investment Products - ERISA: Platforms and Investment Products, Wednesday, August 08, 2018
Transcripts  Transcripts Investment Management: New Fiduciary World - Investment Management: New Fiduciary World, Wednesday, May 02, 2018
ERISA: Platforms and Investment Products - ERISA: Platforms and Investment Products, Wednesday, August 08, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Investment Management: New Fiduciary World - Investment Management: New Fiduciary World, Wednesday, May 02, 2018
ERISA: Platforms and Investment Products - ERISA: Platforms and Investment Products, Wednesday, August 08, 2018
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2018, Monday, May 07, 2018, New York, NY
ERISA 2018: The Evolving World, Monday, August 13, 2018, New York, NY
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