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Biography

Mr. Boresta is an accomplished regulatory attorney with extensive experience advising global clients in the financial services sector, including broker-dealers, exchanges, alternative trading systems, investment managers, private equity funds, hedge funds, and credit raters on securities laws and rules and regulations. Prior to joining Gibbons, Mr. Boresta has served at the partner and counsel level at some of the most prestigious law firms in the United States. He has also held a senior leadership role as Vice-President and Associate General Counsel in the Global Regulatory Affairs Department of Standard & Poor’s from 2011 to 2016 (now known as S&P Global), where he advised S&P’s globally regulated businesses, including credit ratings, indices, and investment advisory services.

 

Mr. Boresta’s areas of experience include the following:

 

    • Broker-Dealer Regulation

 

    • Investment Adviser Regulation

 

    • Credit Rating Regulation

 

    • Outsourcing and Vendor Relationships

 

    • Protection of Confidential and Sensitive Information

 

    • Policy Development

 

    • Compliance Matters

 

    • Disclosure Matters

 

    • Regulatory Submissions

 

    • Regulatory Inquiries and Examinations

 

    • Data Privacy and Cybersecurity

 

  • Mergers and Acquisitions of Regulated Entities

Other Info About Robert

Experience

Legal Work Highlights

Mr. Boresta’s accomplishments include the following:

    • In 2010 Mr. Boresta obtained first-of-its kind no-action relief from the SEC under Regulation S for an electronic foreign bond marketplace (Bursa Malaysia).
    • He has represented US, EU and APAC securities exchanges, trading systems, banks and broker-dealers on cross-border securities trading issues and SEC Rule 15a-6.
    • In 1996 Mr. Boresta advised the first professional services firm in its application to register an affiliate as a broker-dealer with the SEC and FINRA.
    • Mr. Boresta has extensive experience in broker-dealer regulatory issues arising in connection with the merger and acquisition of broker-dealers and business expansions, including advising on diligence and deal terms and obtaining regulatory approvals. In 2006 he published an article on this topic: “Traps for the Unwary – Regulatory Considerations in Broker-Dealer Acquisitions,” Wall Street Lawyer, July 7, 2006.
    • Mr. Boresta has counseled investment advisers to private equity and hedge funds on the establishment of compliance programs, ADV disclosure, examinations and trading issues. He has authored several articles on this topic: “Proposed Compliance Programs for Investment Companies and Investment Advisers,” Wall Street Lawyer, March 2003; “SEC Proposes Registration of Internet Investment Advisers,” Wall Street Lawyer, June 2002; and “The Sunlight of Web Disclosure May Soon Shine on Investment Advisers and Their Disciplinary Records,” wallstreetlawyer.com, June 2000.
    • Mr. Boresta has counseled private companies and funds on the use of intermediaries to raise capital and was a member of a special American Bar Association task force on Private Placement Broker-Dealers that published the American Bar Association’s “Report and Recommendations of the Task Force on Private Placement Broker-Dealers,” in the Business Lawyer, Vol. 60, No. 3, May 2005.
  • Mr. Boresta is a Certified Information Privacy Professional/Europe (CIPP/E).

Education

Fordham University School of Law|Rutgers University

J.D.|B.A.

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  • Fordham International Law Journal

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Courts

Robert is admitted to practice before the following court(s):

State of New York|State of New Jersey

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