Ryan Helmrich advises investment managers, broker-dealers, fund sponsors, custodial banks, transfer agents and other asset servicing providers on a broad range of investment management regulatory and transactional matters. He also counsels asset managers on a range of regulatory issues, including registration, interpretive guidance, new product development, regulatory examinations and enforcement actions.
In addition to his broad experience in asset management, Ryan regularly represents financial institutions in lift-out transactions, master servicing arrangements, derivatives-trading arrangements, as well as other matters affecting their domestic and global asset-servicing activities (custody, administrative, sub-accounting, and transfer agency). He also works with state sponsors, private program managers and other providers of retirement savings (SECURE Act) products, Section 529 college savings programs, Section 529A (ABLE) disability savings programs, and regularly represents investment advisers, broker-dealers, and program administrators with product development, distribution and government contract negotiation.
Ryan has deep private sector experience, having served as Director and Assistant General Counsel with Bank of America Merrill Lynch, where he advised the Chief Investment Office and global wealth management division, focusing on new product development and augmentation, cross-product issues, performance reporting and advertising, product supervision, risk management, internal audit, and compliance. He also led a legal team in the transition of legacy Merrill Lynch investment platforms, which included registered funds, 529 Plans and alternative investments, and supported the Wealth Management and U.S. Trust advisory platforms with new product origination, distribution, client and third-party relationships, and trading issues.
Before joining Bank of America Merrill Lynch, Ryan was a member of the Investment Management practice in a nationally recognized law firm, where he represented private, open- and closed-end funds and exchange-traded funds (ETFs), their advisers and listing markets in regulatory and transactional matters, including formation, reorganization, trading and distribution, advertising, ongoing board reporting and SEC regulatory compliance. He also regularly assisted clients in conducting internal compliance audits and in developing and maintaining compliance programs.
