Justin L. Browder is a partner in Willkie’s Asset Management Group based out of the Washington office. Justin concentrates his practice on counseling investment advisers, investment funds, and broker-dealers concerning their compliance with all aspects of the federal securities laws. He has substantial experience providing ongoing regulatory and operational advice to managers of private funds – including hedge funds, private equity funds and venture capital funds – and sponsors of wealth management and separately managed account programs. A central component of his practice involves representing investment advisers in regulatory examinations and enforcement proceedings before the Securities and Exchange Commission.
Prior to joining Willkie, Justin was an associate at international law firms in Washington and New York City and served as Assistant General Counsel at Och-Ziff Capital Management Group, a large multi-strategy alternative asset manager based in New York.
At Och-Ziff, Justin focused on regulatory and enterprise risk issues and counseled investment teams on trade execution, deal structuring, Rule 10b-5 compliance and other regulatory matters.
Selected Speaking Engagements
- ACA Compliance Spring Conference: “Form ADV: Regulation BI and Form CRS” – Panelist (May 2020)
- Ascendant Compliance Management Fall Conference: "Mining Advisory Business Operations for Custody" – Panelist, San Diego, CA (October 2018)
- ACA Compliance Spring Conference: "Anatomy of an SEC Examination" – Panelist, Amelia Island, FL (May 2018)
- Ascendant Compliance Management Fall Conference: "Supervising Branch Offices" – Panelist, Napa, CA (October 2017)
- ACA Compliance Spring Conference: "Mutual Funds - Distribution in Guise" – Panelist, Miami, FL (April 2015)
Investment Advisers: Law and Compliance, Lexis Nexis/Matthew Bender (co-author).
- SEC Enforcement Against Private Equity Firms in 2018: Year in Review, The Investment Lawyer, Vol. 26, No. 5 (May 1, 2019) (co-author).
- SEC Enforcement Director Reviews Focus on Private Equity, The Investment Lawyer, Vol. 23, No.8 (Aug. 1, 2016) (co-author).
- Valuation Practices, The US Private Equity Fund Compliance Guide, Vol. III (2015) (co-author with James Anderson).
- Asset Managers and the Regulatory Debate Over Systemic Risk, Rev. of Sec. and Comm. Reg., Vol. XLVIII, No. 16, pp. 205-17 (Sept. 23, 2015) (co-author with James Burns).