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Corporate and Securities
D. Grant Vingoe is a partner in the New York office of Arnold & Porter LLP. He concentrates his practice in cross-border securities transactions and financial services regulation. Mr. Vingoe has been deeply involved in regulatory policy matters for the Canadian securities industry. He has represented numerous non-US issuers and underwriters in US public offerings and private placements. He has established many financial services affiliates for non-US banks and brokerage firms. He also advises these firms on ongoing compliance, governance, and risk management issues. He has also advised senior management of International stock exchanges and self-regulatory organizations concerning regulatory policy matters and cross-border business initiatives. Additionally, he has received the ICD.D director certification from the Institute of Corporate Directors.
Corporate and Securities Representative Matters
- Advises international financial services trade organizations on US and cross-border developments affecting their members.
- Established financial services affiliates of non-US banks and brokerage firms and counsels them on US regulatory compliance, corporate finance, and risk management issues.
- Advises non-US securities market participants on the impact of US regulatory developments on their operations and competitive positions.
- Represents Canadian and other non-US issuers and underwriters in inbound corporate finance transactions, including Rule 144A and Regulation D private placements and offerings effected under the Multi-jurisdictional Disclosure System.
- Represents participants in cross-border financial services mergers and acquisitions transactions.
- Conducts governance reviews for securities self-regulatory organizations.
- Conducts internal investigations involving securities market activities.
- Public policy advice concerning financial services regulation.
- Advises international financial services trade organizations on US and cross-border developments affecting their members.
- Established financial services affiliates of non-US banks and brokerage firms and counsels them on US regulatory compliance, corporate finance, and risk management issues.
- Advises non-US securities market participants on the impact of US regulatory developments on their operations and competitive positions.
- Represents Canadian and other non-US issuers and underwriters in inbound corporate finance transactions, including Rule 144A and Regulation D private placements and offerings effected under the Multi-jurisdictional Disclosure System.
- Represents participants in cross-border financial services mergers and acquisitions transactions.
- Conducts governance reviews for securities self-regulatory organizations.
- Conducts internal investigations involving securities market activities.
- Public policy advice concerning financial services regulation.
Professional Activity
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Guest lecturer on US securities law in the Osgoode Hall Law School LL.M Program
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Previously an independent director and chair of the Governance Committee of the Investment Industry Regulatory Organization of Canada (IIROC), Canada's investment industry self-regulatory organization
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Previously an independent director and chair of the Governance Committee of Market Regulation Services Inc., the self-regulatory organization for trading activities on Canadian marketplaces, later merged with IIROC.
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Appointed in 1999 to a term with the Ontario Securities Commission Securities Advisory Committee
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Member, Securities Industry and Financial Markets Association, Compliance & Legal Society
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Member, Ontario Bar Association, Securities Law Subcommittee
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Member, Atlantic Council of Canada
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Member, Institute of Corporate Directors
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Member, National Society of Compliance Professionals
Community Activity
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Board Chair, Reach the World, a New York-based nonprofit that uses a mixture of computer-based and real time connections with sponsored travelers and class visits to enhance elementary and secondary student knowledge of the world beyond their neighborhoods.
Kevin F. Barnard, A. Patrick Doyle, David F. Freeman, Jr., D. Grant Vingoe and Kathleen Scott "Federal Reserve Proposes Enhanced Prudential Standards and Early Remediation Requirements for U.S. Operations of Foreign Banks" (PDF: 930 kB) Financial Fraud Law Report, April 2013
"SEC Official Reminds Private Funds, Including Private Equity Funds, that Certain Fund-Raising and Marketing Activities and Fees for "Investment Banking Activities" Require Broker-Dealer Registration" (PDF: 520 kB) Apr 2013
"SEC Staff Answers Frequently Asked Questions On Activities of Foreign Broker-Dealers" (PDF: 321 kB) Apr 2013
"Resolution Plan Deadlines Approaching for Insured Depository Institutions and Holding Companies" (PDF: 326 kB) Mar 2013
"Deadline Approaching for Foreign Banks on Living Wills" (PDF: 377 kB) Jan 2013
"Federal Reserve Proposes Enhanced Prudential Standard and Early Remediation Requirements for U.S. Operations of Foreign Banks" (PDF: 549 kB) Dec 2012
"Broker-Dealer No-Action Relief for Advisors in Cross-Border Mergers and Acquisitions" (PDF: 589 kB) Jul 2012
"International Implications of New FINRA Registration Rules for Securities Back Office Personnel" (PDF: 356 kB) Aug 2011
"Private Fund Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act" (PDF: 690 kB) Jul 2010
"SEC Adopts Restrictions on Short Sales" (PDF: 306 kB) Mar 2010
"SEC Seeks Comments on Alternative Short Sale Rule" (PDF: 233 kB) Aug 2009
"SEC Announces Additional Steps to Prevent Abusive Short Sales and Increase Market Transparency" (PDF: 236 kB) Jul 2009
"FINRA Proposes Registration Category for Investment Banking Professionals" (PDF: 197 kB) Mar 2009
"SEC Adopts Significant Amendments to the Foreign Private Issuer Exemption from Securities Exchange Act Registration" (PDF: 731 kB) Oct 2008
"SEC Proposes to Ease Requirements on Foreign Broker-Dealers" (PDF: 263 kB) Jul 2008