Skip to main content
Top Button
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. Erik has worked regularly with state and federal regulators in these roles to work through client issues as they have arisen.

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 real estate investment company with a variety of funds and financial services offered through its portfolio of companies. As chief compliance officer the real estate investment 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, created strategies to provide risk mitigation, and developed and implemented internal control tests to verify employee compliance with the firm's policies and procedures.

Erik was also previously assistant general counsel at one of the largest and fastest-growing mutual insurance holdings companies in the United States. In this role, he worked with the company's affiliate broker-dealer, investment adviser, and registered investment company.  He provided counsel to senior management on a variety of legal, compliance, operational, and general business issues.  

In addition, his legal experience includes working at large law firms in Indianapolis and New York. Erik has extensive experience working with a variety of broker-dealers, investment advisers, registered investment companies, and hedge funds both as a private law firm attorney and as a trusted in-house business partner.  

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.

 
View Full Site View Mobile Optimized