Speakers

Valerie Mirko

Partner

  • Company:Baker & McKenzie LLP
  • Short Bio:A.Valerie Mirko is a Partner in Baker McKenzie’s North America Financial Regulation and Enforcement Practice, which is part of the Litigation and Government Enforcement practice. Ms. Mirko’s practice comprises a range of regulatory, examinations and enforcement matters, with a focus on the asset management industry, including retail and wealth management, broker-dealers and sponsors of private investment funds, mutual funds, and exchange-traded funds. Valerie draws from her deep regulatory expertise in advising clients in examinations and enforcement investigations, providing counsel on the SEC’s Custody Rule, fiduciary duty and conflicts of interest, state and federal standards of conduct, disclosure and internal controls, and marketing. She also advises broker-dealers and investment advisers regarding regulatory risk and compliance programs. Prior to joining the firm, Ms. Mirko was General Counsel of the North American Securities Administrators Association (NASAA), the association of state securities regulators. Earlier in her career, Valerie advised broker-dealers and investment advisers in enforcement investigations as an associate at a Washington law firm and held legal and compliance roles at Oppenheimer & Co. and Merrill Lynch (now BofA Securities). Valerie is also a member of the adjunct faculty at the George Washington Law School and a securities subcommittee chair in the DC Bar.
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