Legal & Regulatory

The Legal and Regulatory Council (the “Council”) is comprised of legal professionals from each of the member firms of the Association of Institutional INVESTORS (the "Association").  With guidance from the Council’s Chair and Vice Chair (who shall serve on a rotating basis with other Council members), the Council will work through representatives from member firms, who may be from legal, operations, trading, or other departments,  appointed by Council members from time to time.  The Council’s mission consists of the following:
  • Provide a legal resource for the other Association councils and to provide guidance on initiatives originated by the other Association councils upon request and as needed;
  • Monitor regulatory developments impacting member firms and coordinate formal (e.g., comment letters) and informal (e.g., ad hoc regulator meetings) regulatory outreach; and
  • Work with outside sources, including law firms, trade groups, and vendors, to arrange educational resources, support Association regulatory outreach, and influence market initiatives.

Membership inquiries may be directed to:

John Gidman, President
Matthew Jones, Executive Director