Robert Boresta is an accomplished and practical securities regulatory attorney with extensive international experience counseling participants in global financial markets on complex securities laws and regulations. He has comprehensive knowledge of financial services regulation and compliance matters and the rules and regulations for broker-dealers, investment advisors, credit-rating agencies and other regulated market participants.

Mr. Boresta’s experience includes advising broker-dealers on matters arising under federal and state securities laws and FINRA and other self-regulatory organization rules, including cross-border transactions under SEC Rules 15a-6, 144A and Regulation S, FINRA New Membership and Continuing Membership Applications, supervisory and compliance policies and procedures, business expansions, regulatory inquiries, examinations and investigations, internal compliance reviews, financial and operational matters, disclosure issues, and new product development. He also regularly advises managers of private funds on compliance with securities and commodities laws and rules applicable to investment advisers. His experience includes advising clients with mer...

See More
  • Corporate Experience

    S&P Global, Vice President and Associate General Counsel, Global Regulatory Affairs

  • Areas of Expertise
    • Global Regulation of Credit Rating Agencies • Broker-dealer regulation and compliance • Investment Adviser regulation and compliance
    • Strategic Negotiations • Policy Development • Form NRSRO Compliance • FINRA Registration and Compliance • Form ADV
    • Strategic Planning • Cross-Functional Leadership • Compliance • Privacy and Data Security – Certified Information Privacy Professional/Europe (CIPP/E)
    • SEC Rule 15a-6 transactions
    • Cross-border regulatory matters for broker-dealers and investment advisers
    • ESG Regulation and Compliance in Financial Services
  • Representative Transactions
    • Advised foreign broker-dealer on establishment of electronic cross-border trading facility under SEC Rule 15a-6.
    • Obtained FINRA approval for acquisition of broker-dealers by national bank.
    • Obtained FINRA approval for business expansion of US broker-dealer.
    • Advised credit rating agencies on first of its kind business combination
    • In 2010 obtained first-of-its kind no-action relief from the SEC under Regulation S for an electronic foreign bond marketplace (Bursa Malaysia).
    • Represented US, EU and APAC securities exchanges, trading systems, banks and broker-dealers on cross-border securities trading issues and compliance with SEC Rule 15a-6.
    • Advised the first professional services firm in its application to register an affiliate as a broker-dealer with the SEC and FINRA.
    • Counseled private companies and funds on the use of intermediaries to raise capital and was a member of a initial American Bar Association task force on Private Placement Broker-Dealers.
    • From 2011 to 2016 was the senior regulatory attorney for Standard & Poor’s Global Regulatory Affairs department (now known as S&P Global) where he led a global team providing legal guidance to senior leadership for S&P’s regulated businesses globally including Ratings Services, S&P Capital IQ’s two registered investment advisers and S&P Dow Jones Indices. At S&P he served in a leadership role on global committees for Policy Governance, Firewalls, New Products, and Regulatory Standards. Mr. Boresta regularly represented S&P before global regulators in connection with numerous high profile, sensitive regulatory matters including the settlement of matters with the DOJ, the SEC and the JFSA.
  • Presentations and Teaching Experiences
    • Panelist on Trade Allocation at Financial Research Associates Conference
    • Panelist on Special Compliance and Business Concerns of the Dual Registrant at National Regulatory Services Compliance Conference
    • Moderator of discussion sponsored by DC Bar Association on Broker-Dealer Push-Out Provisions of the GLBA
    • Presented a webinar on broker-dealer registration sponsored by West Legalworks
  • Publications

    Mr. Boresta is the author or co-author of numerous articles, including:



FisherBroyles UK LLP (“FisherBroyles UK”) is a limited liability partnership registered in England and Wales with registered number OC426505, and which practices from 1 Ropemaker Street, London, EC2Y 9HT. A list of members of FisherBroyles UK is available for inspection at that address. FisherBroyles UK is authorised and regulated by the Solicitors Regulation Authority with registered number 658162. FisherBroyles UK is connected with its affiliate in the US, FisherBroyles LLP, although they are two separate legal entities. The word “partner” denotes a member of FisherBroyles UK or an employee or consultant with equivalent standing and qualifications.

A list of the members of FisherBroyles UK is available for inspection at the above address. Further information about FisherBroyles UK can be found in the UK Legal Notice and Privacy Notice.

See our labor, employment, and benefits team, and view details regarding our fees for employment matters .

FisherBroyles UK opposes all forms of slavery and human trafficking, and is committed to taking steps to ensure that these do not occur in its business or in its supply chains. For further details, see our Modern Slavery and Human Trafficking Statement.

We are committed to providing a high-quality legal service to all our clients. For more details, see our Complaint Handling Procedure.

New York

Robert Boresta


[email protected]




New York


Fordham Law School
Rutgers College

Prior Law Firm Experience

Sullivan & Cromwell
Mudge Rose
Paul Hastings
Winston & Strawn

Practice Areas