Justin L. Browder

Partner

Washington
Willkie Farr & Gallagher LLP
1875 K Street, N.W.
Washington, DC 20006-1238
T 202 303 1264
F 202 303 2264
jbrowderwillkie.com

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.

In addition, Justin’s experience includes: advising ETF sponsors and robo-advisors regarding their product offerings; counseling private equity sponsors and strategic investors concerning acquisitions of asset management businesses; advising registered investment funds, their advisers and boards of directors as to compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940; and advising alternative asset managers as to fund formation matters.

Justin is the co-author, along with James Anderson, of Investment Advisers: Law and Compliance, a treatise on the regulation of asset managers, published by Lexis Nexis/Matthew Bender. Justin also serves as Secretary of the New York City Bar’s Committee on Investment Management Regulation.  

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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 Experience

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 Publications and Lectures

Selected Speaking Engagements

  • 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)

Selected Publications

  • Investment Advisers: Law and Compliance, Lexis Nexis/Matthew Bender (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).
  • Dropping the General Solicitation Ban: Issues for CCOs, Compliance Reporter, Vol. XIX, No. 21, pp. 11-13 (Oct. 8, 2012) (co-author).
  • The 2007 Private Equity Bust: Re-contextualizing Material Adverse Change Clauses in a Credit-Stricken Market, 63 U. Miami L. Rev. 1151 (2009).

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