The Global Financial Institution Industry Podcast

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Author
A. Valérie Mirko

A. Valérie Mirko is a partner in Baker McKenzie’s Financial Regulation and Enforcement Practice Group in North America. Valerie has extensive experience with federal and state securities laws and regulations affecting the financial services industry, with an emphasis on the investment advisory and brokerage industries. Valerie has a background in regulatory consulting and law enforcement consulting. Immediately prior to joining the firm, Valerie was General Counsel of the North American Securities Administrators Association (NASAA). As General Counsel, Valerie has advised the NASAA Board of Directors on the evolution of federal securities laws and their impact on state securities regulation. Valerie has provided advice on, among other things, the SEC rulebook, fiduciary duties / standards of care, pre-emption, retail law enforcement matters, investment advisor oversight and data confidentiality. She also oversaw all of NASAA’s securities-related legal work and was a resource on multi-state enforcement investigations and regulations. Valerie has also provided governance support on key NASAA Regtech projects and regulatory coordination initiatives between state and federal regulators. Valerie has been a frequent speaker at roundtables and training events reserved for regulatory bodies. Earlier in her career, Valerie advised brokers and investment advisers on regulatory matters and enforcement investigations as a partner in a Washington law firm and held legal and compliance roles at Oppenheimer. & Co., Inc., and Merrill Lynch (now BofA Securities). Valerie is currently an adjunct faculty member at the George Washington University Law School and chair of a subcommittee within the DC Bar Corporation, finance and securities law community.


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