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Susan Gault-Brown

Fintech Chair and Investment Management Partner at Stradley Ronon

Susan I. Gault-Brown is a highly regarded regulatory expert and trusted adviser in the asset management industry, currently serving as Fintech Chair and Investment Management Partner at Stradley Ronon.24 With over 20 years of experience, she specializes in advising clients on matters related to U.S. Securities and Exchange Commission (SEC) and U.S. Commodity Futures Trading Commission (CFTC) registration.2

Key aspects of Susan Gault-Brown's career and expertise include:

  1. Regulatory Focus: She provides guidance on required disclosures, compliance programs, structuring of new products and operations, complex regulatory matters, and regulatory relief such as no-action letters and exemptive orders.2

  2. Client Base: Her clients include registered investment advisers, exempt reporting advisers, private funds, registered funds, broker-dealers, funding portals, commodity trading advisors, commodity pool operators, and other regulated financial participants.2

  3. Investment Company Act Expertise: Gault-Brown is a well-known expert in investment company status determinations under the U.S. Investment Company Act of 1940, working with clients across diverse industries including renewable energy, lending, and technology.2

  4. Fintech Experience: She has extensive experience advising fintech clients on emerging financial services products, including digital and tokenized assets, cryptocurrencies, blockchain, and distributed ledger technology.2

  5. Prior Experience: Before joining Stradley Ronon, Gault-Brown served as senior counsel at the SEC's Division of Investment Management's Office of Chief Counsel.2 She also previously worked at Morrison & Foerster LLP as a Financial Services Partner.1

  6. Leadership Roles: At Stradley Ronon, she leads the fintech practice group and is a member of the firm's investment management department.4

  7. Recent Activities: Gault-Brown has been active in providing insights on regulatory matters, such as responding to SEC staff on custody questions related to digital assets.3

Susan Gault-Brown's LinkedIn username is susan-gault-brown-44a1b529, as mentioned in the query.

Highlights

Jan 24 · stradley.com
Investment Management Lawyer - Stradley Ronon
Jun 10 · aoshearman.com
susan-gault-brown- - A&O Shearman
susan-gault-brown- - A&O Shearman
Mar 4 · stradley.com
Stradley Ronon Partners Present on Spot Bitcoin ETPs for PLI ...
Feb 21 · stradley.com
SPAC Rules Have Broad Implications for Investment Company ...
SPAC Rules Have Broad Implications for Investment Company ...
Sep 21 · citybiz.co
Susan Gault-Brown Joins Stradley Ronon as Fintech Practice Chair ...
Susan Gault-Brown Joins Stradley Ronon as Fintech Practice Chair ...
Apr 10 · lgbtqbar.org
Susan Gault-Brown - Lavender Law
Jul 13 · mestel.com
Mestel Places Partner Susan Gault-Brown at Morrison Foerster LLP

Related Questions

What are Susan I. Gault-Brown's key achievements in fintech?
How has Susan I. Gault-Brown contributed to Stradley Ronon's investment management practice?
What specific projects has Susan I. Gault-Brown worked on at Stradley Ronon?
How does Susan I. Gault-Brown's experience at Morrison Foerster LLP influence her current role?
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Location

Washington, District of Columbia, United States