Jonathan Morris is a member of the Corporate and Business Law department in the firm's New York office. Mr. Morris' practice focuses on broker-dealer and investment management issues. He has extensive experience in all areas of investment management, including regulatory, transactional and product related issues, broker-dealer/bank governance matters and the arbitration of securities and employment related cases. He is a frequent speaker on industry panels relating to investment advisory and broker dealer matters.
Most recently, Mr. Morris was a managing director, general counsel, and head of governance for Barclays Wealth Americas (BWA). His responsibilities included the supervision of all legal affairs and the oversight of the compliance department, the financial crimes unit and the business control group. In addition, Mr. Morris either chaired or served as a member of various committees critical to the business operations of BWA, including the New Products Committee and the Operational Risk Committee. He was also a member of the BWA Executive Committee. Prior to joining Barclays Wealth, Mr. Morris was a managing director and the senior counsel for Lehman Brothers Investment Management Division, with responsibility for the Private Client Services Division, private equity, alternatives and institutional asset management businesses. Previously, Mr. Morris held senior legal positions at Travelers Group where he was responsible for all major litigations and arbitrations for the subsidiaries.
News, Publications & Presentations
ˇ Speaker, "Social Media Webinar for Broker-Dealers and Investment Advisers," Day Pitney Webinar, March 13, 2012
ˇ Co-author, "Regulators Issue Guidance on Use of Social Media by Investment Advisers," Day Pitney Alert, February 8, 2012
ˇ Co-author, "SEC Crackdown On Investment Adviser Compliance Deficiencies," VCExperts, February 3, 2012
ˇ Co-author, "The family office rule and foreign adviser exemption," Financier Worldwide, February 2012
ˇ Co-author, "Recently Adopted Fund Manager Reporting Obligations," VCExperts, December 15, 2011
ˇ Co-author, "Targeting Adviser Compliance Deficiencies," Law360, December 12, 2011
ˇ Co-author, "SEC Crackdown On Investment Adviser Compliance Deficiencies," Day Pitney Alert, December 1, 2011
ˇ Co-author, "Newly Adopted Fund Manager Reporting Obligations," Day Pitney Alert, November 4, 2011
ˇ Quoted, "Banks Can Avoid UBS Fate With Smart Employer Policies," Law360, September 15, 2011
ˇ Co-author, "CT Department of Banking Releases Orders Clarifying Investment Adviser Registration and Regulation," Day Pitney Alert, July 15, 2011
ˇ Co-author, "SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration and Exemption Requirements," Day Pitney Alert, July 11, 2011
ˇ Speaker, "The Current Economic Environment and Its Impact on Retail Investors," SIFMA Compliance & Legal Society 43rd Annual Seminar, March 21, 2011