Senior Capital Markets Attorney who brings comprehensive capital markets knowledge gained through diverse leadership roles in alternative asset management, banking, consulting, and trading technology as well as through senior roles at NASADQ and FINRA. Broad experience includes compliance, risk management, regulation, controls, surveillance, supervision, and governance. Expertise in U.S. trading regulations and market structure issues with particular understanding of electronic trading and management of electronic exchanges. In-depth knowledge of legal and regulatory compliance issues pertaining to equities, derivatives, options and futures markets. Expertise in regulation technology and cryptocurrency trading with ability to advise on founding and structuring of new entities from Fintech startups, to hedge funds, and to electronic market places. Frequent industry speaker, panelist, webcaster, and published author.
Member of the Bar, State of New York
Court admissions to SDNY, EDNY, Court of Appeals, Second Circuit, US Tax Court, and US Supreme Court
Series 3, Series 4, Series 7, Series 14, Series 24, Series 27, Series 55 and Series 63 (lapsed)
LAW OFFICE OF MANNY ALICANDRO │ New York, NY 2018-Present
Principal of Law Practice
▪ Provide advice to banks/broker-dealers, technology firms on regulatory and compliance matters in the capital markets.
▪ Counsel firms on FinTech and RegTech issues.
▪ Represent firms in the cryptocurrency markets.
NEW YORK CITY PUBLIC ADVOCATE │ New York, NY 2019-2019
▪ Republican candidate for New York City Public Advocate.
▪ Conducted citywide campaign.
NEW YORK STATE ATTORNEY GENERAL │ New York, NY 2018-2018
▪ Republican candidate for New York State Attorney General.
▪ Conducted statewide campaign.
MANA PARTNERS LLC │ New York, NY 2017-2017
$1B hedge fund launched in 2017
General Counsel/Head of Regulatory Technology
▪ Recruited to lead all strategic and tactical legal initiatives; advise on the firm’s trading strategies and implementation;
negotiate critical contracts for various complex business transactions.
▪ Provide counsel on the firm’s financing, including assessing current and future business structures and legal entities.
▪ Oversee the growth and development of the firm’s regulatory technology initiatives.
PRICEWATERHOUSECOOPERS ADVISORY SERVICES, LLC │ New York, NY 2015-2017
Director, Financial Services Risk and Regulatory Practice
▪ Advised clients on overall management and performance of their business with a focus on compliance management,
regulation, risk, controls and governance.
▪ Provided expertise in U.S. trading regulations and market structure issues including: Reg SHO, Reg ATS/ATS-N, best
execution, trade reporting including swaps reporting, EBS, LOPR, OATS, prime brokerage, Rule 15a-6, Large Trader
Reporting, Consolidated Audit Trail, Volcker Rule and Dodd-Frank.
▪ Led and managed engagement teams on various regulatory consulting projects.
JPMORGAN CHASE BANK, N.A. │ New York, NY 2013-2015
Executive Director/Assistant General Counsel
▪ Provided legal and regulatory advice for electronic trading across multiple asset classes.
▪ Advised cash equities business managers and registered reps on issues involving equity research, sales & trading,
broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology, operations and client matters.
▪ Interacted with compliance and other control functions regarding supervision, surveillance and monitoring of business
activities to identify and assist in resolution of regulatory, compliance, and control issues.
▪ Informed on market structure developments, execution requirements, market making, and electronic trading issues.
NASDAQ OMX GROUP, INC.│ New York, NY 2004-2013
Vice President/Associate General Counsel; President/BOX Regulation (role added in 2011)
▪ Prepared and submitted rule filings to the SEC. Managed the disposition of surveillance reviews and TMMS
examinations conducted by FINRA for all NASDAQ and BOX member firms.
▪ Former Chief Compliance Officer of NASDAQ’s broker-dealer subsidiaries.
▪ Served as the point of contact with the SEC for all BOX (Boston Options Exchange) Regulation matters. Responsible for the supervision of the BOX Regulation rule filing process for all changes or additions to BOX Rules with the SEC.
MAKO GLOBAL DERIVATIVES, LLC/CAPSTONE TRADING, LLC │New York, NY 2003-2004
Head of U.S. Compliance/Financial and Operations Principal
▪ Managed the entire compliance function for all U.S. operations including multiple broker-dealers and a hedge fund.
▪ Provided regulatory oversight, compliance support and guidance to the firm to ensure compliance with the various
regulatory measures of the SEC, FINRA, CFTC, NFA, CBOT, CME, ISE, AMEX, NYMEX and Eurex.
▪ Acted as the Anti-Money Laundering (AML) Officer responsible for the execution of the entire AML Program.
▪ Identified potential compliance issues, interpreted new regulations, and provided regular feedback to management.
CDC IXIS NORTH AMERICA INC │ New York, NY 2000-2003
Vice President/Head of Compliance
▪ Ensured that the firm’s activities were in compliance with the Investment Advisers Act of 1940 and SEC rules and
regulations as well as FINRA, MSRB, CFTC and NFA rules.
▪ Set strategic direction of the Compliance Department regarding the overall regulatory compliance function of the
broker-dealer, the OTC Derivatives Dealer (“BD Lite”), the investment adviser and FCM/CPO/CTA subsidiaries.
▪ Operated as the AML Officer responsible for the AML Program including USA PATRIOT Act and OFAC compliance.
EARLIER ROLES INCLUDED:
Experienced Manager/Regulatory Risk Services, Arthur Andersen LLP │ New York, NY 1999-2000
Assistant Vice President/Debt Compliance, Merrill Lynch Pierce, Fenner & Smith │ New York, NY 1998-1999
Staff Supervisor, FINRA f/k/a NASD, Regulation │ New York, NY 1994-1997
Credit/Collections Clerk, Prudential Securities │ New York, NY 1993-1994
Assistant Managing Clerk, Stroock & Stroock & Lavan │ New York, NY 1992-1993
MBA, Massachusetts Institute of Technology, Cambridge, MA 2018
Juris Doctor, New York Law School, New York, NY 2012
Master of Science, Accounting, Pace University, New York, NY 1997
Bachelor of Arts, New York University, New York, NY 1991
Law Enforcement for the Highest Bidder: How Bloomberg has Quietly Staffed AG Offices for His Own Policy Goals,
Inside Sources, March 20, 2019
Depoliticize the Martin Act, Crain’s New York Business, September 12, 2018
Consolidated Audit Trail: The CAT’s out of the bag, PwC Regulatory Brief, June 2016
Fiduciary duty proposal: Disruptors at the gate, PwC Regulatory Brief, August 2015
Webcast: “Nasdaq Speaks ’12: Latest Developments and Interpretations”, June 6, 2012, TheCorporateCounsel.net
An Analysis of High Frequency Trading, N.Y. St. B.A. Bus. L.J., vol. 15, no. 1, at (p. 45) (Summer 2011)