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David C. Boch regularly advises clients on all aspects of compliance with federal, state, and SRO regulations applicable to investment companies, investment advisers, broker-dealers, and transfer agents. David also conducts internal investigations and regularly represents clients in regulatory proceedings before the SEC and FINRA, and defends clients in private litigation in both state and federal courts and arbitrations. Clients praise him for his “practical approach to complex broker-dealer enforcement issues,” his “technical ability” and “subject matter expertise.”
He also regularly advises firms on issues relating to the distribution and sale of mutual funds. He advises clients concerning the design and implementation of supervisory and compliance programs, the review of existing policies and procedures, the preparation for and conduct of examinations, and registration issues.David speaks regularly at FINRA conferences and industry association meetings, including the SIFMA Annual Compliance and Legal Seminar. He has been repeatedly recognized as a leading lawyer in Chambers USA for Securities Regulation and Enforcement as well as Broker-Dealer (Compliance).
Before joining Morgan Lewis, David was a partner in the financial institutions regulatory, enforcement, and litigation practice at another international law firm.
Awards and Affiliations
Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)