Ellen M. Creede is counsel in the New York and Dubai offices of Latham & Watkins. Ms. Creede's practice focuses primarily on restructuring, registration and compliance matters for broker-dealers and investment advisors, FINRA Corporate Finance analysis, US stock exchange listing requirements and state securities laws.
Spanning more than three decades, her experience includes advising investment banks, private equity firms, hedge funds, broker-dealers and investment advisers, among others, on a wide range of complex regulatory, compliance and capital markets matters. Ms. Creede has extensive experience advising financial institution groups with respect to structuring and obtaining regulatory approval for changes in control and mergers and acquisitions in the banking and financial services sectors.
In addition, she provides advice to clients with respect to all manner of securities transactions under various States’ securities laws in coordination with US federal securities law analysis, requirements and documentation relating to companies’ listing on various US securities exchanges and interpretive guidance with respect to the rules of various exchanges and self regulatory organizations including the Financial Industry Regulatory Authority (FINRA).
Prior to Latham, Ms. Creede worked for Cleary Gottlieb which she joined in 1980 and was promoted to counsel in 1992. She was also an associate counsel for Fahnstock & Company.
Ms. Creede's representative matters include:
- Documentation and consultation in connection with broker-dealer SEC registration and NYSE/FINRA membership applications and investment adviser SEC registration for wide range of clients including, among others, Barclays, Credit Agricole, Citigroup, Texas Pacific Group, UBS, Bank of America and BNP Paribas*
- Advice with respect to structuring and obtaining regulatory approval for changes in control, mergers and acquisitions of securities regulated entities most recently in connection with the numerous restructurings due to the 2008 financial crisis of financial institutional groups such as Barclays, Lehman Brothers, Merrill Lynch, Bank of America, BNP Paribas and Citigroup*
- Consultation on extensive range of compliance-related inquiries for broker-dealer, investment bank and investment advisory institutional clients including, among others, Citigroup, Merrill Lynch, Credit Suisse, Bank of America Securities, Goldman Sachs & Co and Morgan Stanley*
- Advice with respect to compensation arrangements under FINRA Corporate Finance regulations for underwriting clients in numerous public offerings*
* matters handled prior to joining Latham