Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2015)
Ranked: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2014)
Ranked: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2014)
Ranked: Investment Funds: Registered Funds in Chambers USA (2014)
honors + affiliations
Member, Committee on Federal Regulation of Securities, American Bar Association
- District of Columbia
- Washington, D.C.
2020 K Street NW
Washington, DC 20006-1806
Laura E. Flores’ practice focuses on the regulation of investment companies and investment advisers. Laura regularly represents exchange-traded funds (ETFs), mutual funds, and variable insurance-dedicated products, as well as their sponsors and boards of directors, and investment advisers. She counsels both well-established clients and clients that are new to the industry on a variety of regulatory, transactional, compliance and operational issues, including the development of new financial products and services, federal and state registration issues, the preparation and implementation of compliance programs, business combinations involving investment companies and investment advisers, interpretive and “no-action” letter requests, requests for Securities and Exchange Commission exemptive relief, and regulatory examinations.
Laura also counsels investment advisory clients on matters, including advertising and communications with the public, investment adviser registration, and separately managed account (or wrap fee) programs. Laura also has significant experience representing “liquid alt” funds, funds that invest through offshore subsidiaries, and funds that utilize QFII/RQFII quotas to invest directly in securities issued and traded in China.
Prior to joining Morgan Lewis, Laura was a partner in the financial services practice of another international law firm, where she also served on the firm’s diversity committee. Before that, Laura was assistant general counsel in the asset management division of a global bank and an associate in the Washington D.C. office of Morgan Lewis.
- Boston University School of Law, 2004, J.D.
- Smith College, 1999, B.A.
Co-presenter, Books and Records Requirements for Investment Advisers, Investment Adviser Certified Compliance Professional Program, NRS and the Investment Adviser Association webinar (October 2013)
Co-presenter, SEC Examinations for Investment Advisers, NRS webinar (January 2013)