Jonathan Forman
Jonno Forman is an experienced litigator and compliance attorney who guides financial services and emerging technology clients through ever-changing federal and state regulations relating to securities, payment and money transmission, data privacy and information security. As co-leader of the firm’s Financial Services Regulatory and Compliance team, Jonno advises clients at the intersection of technology and financial services, focusing on new investment, payment and blockchain products and services, including cryptocurrencies, digital assets, non-fungible tokens (NFTs) and Web 3.0 decentralized applications (DApps and DeFi). Over the years, Jonno has worked with hedge fund and private equity fund managers, investment advisers, multi-family offices, broker-dealers, banks, trust companies, insurance companies, money services businesses (MSB), payment processors and other financial services, financial technology (fintech) and emerging technology companies and their management to respond to regulatory examinations and government investigations, as well as to resolve complex disputes. Jonno has successfully guided companies and individuals through investigations by the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the New York State Department of Financial Services (DFS) and various state attorneys general offices and financial regulators, resolving many without charges ever being brought against them. Jonno also routinely advises clients with respect to their regulatory compliance programs and transactional due diligence relating to litigation, bribery, money laundering, market manipulation, data privacy, information security, cybersecurity, business continuity, and other legal and reputational risks, including compliance with DFS’s Cybersecurity Regulation, the Bank Secrecy Act (BSA), and FinCEN’s anti-money laundering (AML) regulations. Jonno writes and speaks on the topic of securities and financial regulation and enforcement, highlighting significant developments for legal and compliance personnel, including insider trading, data privacy, information security, cybersecurity, blockchain applications, virtual currency, and other regulatory priorities and trends. He is the author of the data privacy chapters of the Practising Law Institute’s investment adviser and fintech treatises, and also has been published and/or quoted by the leading industry periodicals.
1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate - OPEN)