Helen E. Rizos counsels broker-dealers, investment advisers, banks and various intermediaries on the legal and regulatory requirements, including fiduciary responsibilities, applicable to advisory, brokerage and custodial products and services. Helen has in-depth knowledge of the market practices regarding the distribution of products and services through intermediaries to retail investors, including those investing though IRAs, SEPs, SIMPLES and ERISA plans.
Prior to joining Morgan Lewis. Helen spent her career as in-house counsel for a large financial services firm advising on the legal and regulatory requirements and developments regarding new product development, with a particular focus on IRAs and retirement plans, and the distribution of products and services through broker-dealers, investment advisers, banks, and family offices.