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

• 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

• 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.

• 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

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

• Client Alert- Recent Securities and Exchange Commission Proposals Would Subject Unregulated Traders and Systems to Broker-Dealer Registration April 4, 2022

• Client Alert- Sec Proposes New Mandatory Disclosures Relating To Climate Change, March 23, 2022

• Client Alert- Executive Order on Ensuring Responsible Development of Digital Assets, March 11, 2022

• Client Alert – Sec Issues Sample Letter To Companies Regarding Climate Change Disclosures, October 8, 2021

• Beyond Disclosure– The Emergence of ESG as a C-Suite Risk Factor Part III, May 26, 2021
• Beyond Disclosure – The Emergence of ESG as a C-Suite Risk Factor Part II, April 26, 2021
• Beyond Disclosure – The Emergence of ESG as a C-Suite Risk Factor, March 31, 2021
• FINRA and NFA issue Compliance Guidance, February 19, 2021
• SEC Issues No Enforcement Statement and Requests for Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers, January 7, 2021
• SEC Expands Private Offering Investor Pool, August 28, 2020
• SEC Provides COVID-19 Relief to Small Businesses for Crowdfunding Offerings, May 20, 2020
• “SEC Permits Some U.S. Investors to Trade Foreign Security Futures Contracts (Finally)” Futures and Derivatives Law, July/August 2009.
• “Boresta and Godellas on Regulation R Implementing Exceptions for Banks from the Definition of ‘Broker’ in Section 3(a)(4) of the 1934 Exchange Act,” LexisNexis, Emerging Issues Commentary, February 2008;
• American Bar Association’s “Report and Recommendations of the Task Force on Private Placement Broker-Dealers,” Business Lawyer, Vol. 60, No. 3, May 2005;
• “SROs: NASD New Issue Rule Replaces Unwieldy Hot Issue Interpretation,” Wall Street Lawyer, February 2004;
• “Proposed Compliance Programs for Investment Companies and Investment Advisers,” Wall Street Lawyer, March 2003;
• “SEC Proposes Registration of Internet Investment Advisers,” Wall Street Lawyer, June 2002;
• “The Sunlight of Web Disclosure May Soon Shine on Investment Advisers and Their Disciplinary Records,” wallstreetlawyer.com, June 2000; -“Online Brokerage: A Compliance Checklist,” Practising Law Institute, Course Handbook on Securities Arbitration 2000;
• “Thinking Twice About Your Web-Site – You May Be Liable in Countries You Didn’t Intend to Visit,” e-Trading Legal Alert, January 5, 2001; -“As On-Line Brokerage Proliferates, SEC Grapples with Regulations,” New York Law Journal, February 7, 2000; and
• “Traps for the Unwary – Regulatory Considerations in Broker-Dealer Acquisitions,” Wall Street Lawyer, July 7, 2006.