Stephen P. Wink
Stephen Wink is a partner in the New York office of Latham & Watkins. Mr. Wink is a member of the firm's Corporate Department and of the Capital Markets, Financial Regulatory, Investment Funds and Mergers & Acquisitions Practices. His practice focuses on advising a wide range of market players including investment banks, hedge funds, private equity firms, exchanges, alternative trading platforms, transfer agents and other financial institutions on matters involving the regulation of broker-dealers and investment advisors, market regulation, and compliance and enforcement matters.
Mr. Wink has in-depth knowledge and broad experience advising on the overlapping patchwork of regulations covering the financial markets, including the laws and rules under the Securities Exchange Act of 1934 and the rules of the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations. Mr. Wink is recognized by Chambers USA as one of the country’s leading financial services broker dealer regulation lawyers. He is also recommended by The Legal 500 for Financial Services Regulatory and Alternative / Hedge Funds, and noted by clients as "excellent."
Mr. Wink provides regular commentary on regulatory initiatives and rule-making proposals on behalf of clients and trade associations. He has frequently obtained no-action relief and interpretive guidance on behalf of clients from various regulatory bodies, including the Securities and Exchange Commission and FINRA.
Mr. Wink is a former member of various securities industry committees, including the Securities Industry and Financial Markets Association’s Federal Regulation Committee, the New York Stock Exchange's Compliance Advisory Committee and was Chair of the Bond Market Association's Municipal Legal Advisory Committee. Mr. Wink is a regular speaker at securities industry conferences.
Mr. Wink spent nine years in-house as Executive Managing Director and General Counsel of First Albany Companies Inc., a full-service investment bank, merchant bank and investment advisor. He began his career at Cleary, Gottlieb, Steen & Hamilton after serving as a law clerk to Judge George E. MacKinnon of the US Court of Appeals for the D.C. Circuit.
- Co-Author, "Broker-Dealer Regulation: New Developments and Continuing Practical Concerns Regarding Registration Requirements for Business Brokers, 'Finders,' and Other Financial Intermediaries," Practical Compliance & Risk Management for the Securities Industry, May-June 2014
- Co-Author, "Dually Registered Brokers and Advisers," The Review of Securities & Commodities Regulation, September 2013
- Co-Author, "SEC Presence Exams - Field Observations," PREA Quarterly, September 2013
- Co-Author, "Risk Mitigation Practices for Derivatives Transactions,” Inside Counsel, May 2, 2012
- Co-Author, "7 Risk Mitigation Practices for Using Prime Brokers," Inside Counsel, April 18, 2012