- Broker-Dealer Advisory & Counseling
- Investment Advisory
- Private Funds Advisory & Enforcement Defense
- Fordham University School of Law, J.D., 2007
- Vassar College, B.A. (cum laude en materia subjeta), 2002
- District of Columbia
- New York
Meghan Carey focuses her practice on providing regulatory and compliance advice to financial institutions, particularly investment advisers, sponsors of private investment funds and other pooled investment vehicles, and broker-dealers.
Prior to joining Murphy & McGonigle, Ms. Carey was a vice president and senior compliance officer at a large private equity firm. There she counseled the firm’s sponsors and advisers to energy and infrastructure private funds, including co-investment vehicles, separately managed accounts, and closed-end funds on formation, structuring, organization, and regulatory and compliance issues. She also provided advice regarding substantive regulations of the federal securities laws including advertising, custody of client and investor funds, valuation, allocation of fees and expenses, insider trading, cybersecurity, and AIFMD disclosure requirements.
Prior to her in-house role, Ms. Carey was an associate at Allen & Overy in Washington, DC where she advised US and international clients on potential investment adviser and broker-dealer registration requirements, exclusions or the availability of exemptions or other grounds for avoiding registration under the Investment Company Act, Investment Advisers Act and/or the Exchange Act, including structuring advice to minimize registration requirements. In addition, Ms. Carey advised international financial institutions on cross-border issues including chaperoning agreements and the provision of research reports. Ms. Carey also represented clients in regulatory inquiries and investigations before the FInancial Industry Regulatory Authority and other regulatory agencies, advised on the development of clients’ supervisory procedures, and counseled clients on compliance reviews and internal investigations.
Ms. Carey also was a member of PriceWaterhouseCoopers’ Financial Services Regulatory practice and served as a law clerk to the US Magistrate Judge Debra Freeman of the United District Court for the Southern District of New York. Ms. Carey began her career serving as an attorney at the Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations Chief Counsel’s Office where she provided advice to examination staff regarding the application of the Exchange Act, Advisers Act, and Investment Company Act; attorney-client and work product privileges; and the scope of the SEC’s examination authority.
Seminars and Presentations
Presenter, “Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts,” Investment Adviser Compliance Symposium
06/04/2019 | (06/04/2019)
Presenter, “Independent Broker-Dealer Compliance Roundtable,” ACA Compliance Webinar
05/14/2019 | (05/14/2019)