Erik Hansen is of counsel in Ice Miller’s Business Group where he concentrates his practice on investment management, including registered investment companies and their independent directors, investment advisers, broker-dealers, hedge funds, and general securities issues. He works with clients on their regulatory, operational, strategic, and compliance needs. Those needs include (but are not limited to) broker-dealer formation and ongoing compliance needs, investment adviser registration and continuing legal issues, creation of firm infrastructure, hedge fund formation, mutual fund compliance and regulatory needs (including independent director issues), fund formation and sales, as well as private placement and securities offerings and investor relations issues.  

He has extensive experience directing the development, operation, and management of broker-dealer compliance programs and projects in response to FINRA, SEC and state and federal regulatory requirements. He has significant in-depth experience with:
 
  • The Investment Advisers Act of 1940
  • The Investment Company Act of 1940
  • The Securities Act of 1933
  • The Securities Exchange Act of 1944
  • Blue Sky statutes and regulations
  • Anti-money-laundering (AML) issues
Prior to joining Ice Miller, Erik was counsel at a national company that specialized in real estate development, value investments and health care. As chief compliance officer for the real estate company’s subsidiary broker-dealer, he led broker-dealer business/capital markets and broker-dealer personnel across all business and compliance units, analyzed legal risk and created strategies to provide risk mitigation and developed and implemented internal control tests to verify employee compliance with the firm's policies and procedures.

In addition, his legal experience includes working at large law firms as an associate in Indianapolis and New York. Erik researched and examined trial documents to prepare for court hearings and depositions, reviewed corporate transactions (mergers and acquisitions), as well as debt acquisitions and joint ventures, and coordinated and analyzed compliance for FINRA and SEC review for internal investigation cases.

Erik earned his juris doctor from Boston University School of Law in 2010. He is admitted to practice law in the states of Indiana and New York.

 
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