FacultyFaculty/Author Profile

Stephanie Nicolas

WilmerHaler LLP

Washington, DC, USA


Stephanie Nicolas, a partner in the Broker-Dealer Regulatory and Compliance Group at WilmerHale, works with major investment banking firms, broker-dealers, and other financial institutions to develop comprehensive compliance and supervisory procedures for a range of broker-dealer activities, including research activities (analyst conflicts of interest), firm-wide supervision, information barriers (“Chinese Walls”) and surveillance procedures, trading issues, and sales practice issues.
Stephanie Nicolas is associated with the following items:
Treatise Chapters  Treatise Chapters Privacy of Client Financial Information - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Mark-Ups - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
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