David Guin

Partner and New York Office Managing Director

  • Education: University of Notre Dame, B.B.A. • Notre Dame Law School, cum laude, J.D.
  • Admitted: State of IL, 1989 • Registered Foreign Lawyer in the UK, 2007 • State of New York, 2008
  • Year joined: 2007
  • Year became partner: 2007

Overview

David leads the commercial practice group in the US.  He focuses on securities law matters and has significant experience representing clients with regard to matters governed by the Securities Act, the Securities Exchange Act, the Investment Company Act, the Investment Advisors Act and the Commodity Exchange Act as well as the rules of various self-regulatory organizations and stock and commodity exchanges.

He devotes a significant amount of time to advising high net worth domestic and international individuals, families, family offices and their advisors about their obligations under U.S. securities laws, including the acquisition and disposition of public and private securities, beneficial ownership reporting obligations and the applicability of the U.S. Investment Advisers Act and U.S. Investment Company Act to their investment activities.

David represents hedge funds and investment partnerships with respect to fund formation matters, preparation of fund formation and offering documents, transaction structuring and compliance issues.  He has represented numerous companies in the acquisition and disposition of businesses and business segments, many requiring the filing of a joint proxy and registration statement.

He also represents issuers in all types of financing transactions ranging from traditional loan agreements to public and private offerings (including Rule 144A offerings) of debt and equity securities including hybrid securities, such as convertible notes.

David has significant experience in advising public and private companies and their boards of directors on corporate governance matters including compliance with the Sarbanes-Oxley Act, satisfying fiduciary responsibilities, shareholder relations, and board and shareholder meetings. 

He has represented clients in negotiating and documenting a wide range of commercial transactions from employment matters to intellectual property licensing.

David is a Member of the Board of Trustees and Counsel to the Museum of the City of New York.

Publications and speaking engagements

  • "Encouraging Engaged Ownership through Legal Architecture," International Association of Attorneys for Family-Held Enterprises ("AFHE"), Miami, FL, April 27. 2017.
  • Author, "Preparing to Transition Your Business to a Leader from Outside the Family," Family Business magazine, May-June 2015.
  • Speaker, "Family Relationships: Married-ins" Family Business magazine's Transitions East 2015 Conference, Tampa, March 25-27, 2015.
  • Speaker, "Legal Concerns Relevant to the New Generation," Columbia University's Family Business Club 2015 Conference, New York City, February 20, 2015.
  • Speaker, "Structuring Your Family Office for Success: What Every Family Should Know About Government Taxation, Regulation, and the New Rules for 2015 and Beyond," NYSSCPA's Fifth Annual Family Office Conference, New York City, February 2015.  
  • Co-author, “Top Five Regulatory Concerns for Family Offices,” Bloomberg Brief: Family Office Special Report, June 2014.
  • Panelist, "Is the World Really Flat for U.S. Families Investing Abroad?," Sustainable Family Office Operations and Management conference, New York City, June 2014.
  • Panelist, "Regulatory Roundup: The Current Compliance Challenges Faced by the Affluent and their Advisors,"  Private Asset Management, New York City, May 2014.
  • Chapter co-author, The Complete Family Office Handbook: A Guide for Affluent Families and the Advisors Who Serve Them, January 2014.
  • Speaker, "Not All in the Family: Navigating Securities Laws for Family Offices and Estate Planning", ALI-CLE, November 2013.
  • Speaker, AICPA Family Office Group Meeting, Pasadena, CA, November 2013.
  • Speaker, "From Family Office Formation to Regulation," Family Firm Institute Conference, San Diego, CA, October 2013.
  • Speaker, “Understanding the Impact of Regulatory Issues Confronting Family Offices,” UBS Family Office Forum, May 2013.
  • Speaker, “Compliance Best Practices,” Fidelity Family Office Services, April 2013.
  • Author,"Cross-Border Investing and Taxes," Investments & Pensions Asia, March/April 2013.
  • Interview, "Take 15 Series," CFA Institute, February 2013. Click here to watch the interview on Brightcove.com 
  • Speaker, "The Brave New World of Advertising," Raising Capital from the Exceptionally Wealthy, January, 2013.
  • Webinar, "The Impact of Dodd-Frank On Family Offices," Financial Navigator, September 2012. Click here to watch the presentation
  • Speaker, “Dodd Frank and Registration of Family Offices with the SEC,” AICPA Family Office Networking Group, New York City, April 2012.
  • Co-author, "A Regulatory Countdown," Private Wealth, January 2012.
  • Co-author, "Analyzing the Family Office Rule," New York Law Journal, January 2012.
  • Panelist, “Dodd Frank Act: A New Paradigm for Family Office," Opal Financial Group Family Office & Private Wealth Management Forum, Santa Rosa, Nov 2011.
  • Interview, “Family Office Exemption under Dodd-Frank,” FiNalternatives, October 2011.
  • Author, "US Securities Alert - Large Trader Reporting - New Rule 13h-1," Withers Bergman LLP Briefing Notes, August 2011.
  • Co-author,  "US Securities and Exchange Commission Issues Final Rule: Are You a Foreign Private Adviser?" Withers Bergman LLP Briefing Notes, June 2011.
  • Co-author, "US Securities and Exchange Commission Issues Final Rule: Federal vs. State Regulation of Investment Advisers," Withers Bergman LLP Briefing Notes, June 2011. 
  • Co-author,  "US Securities and Exchange Commission Issues Final Rule: Private Fund Adviser Exemptions," Withers Bergman LLP Briefing Notes, June 2011. 
  • Co-author of "SEC Issues Greatly Expanded Definition of Family Office," Withers Bergman LLP Briefing Notes, June 2011.
  • Author, "How Will Dodd-Frank Affect Me?" STEPJournal, March 2011. 
  • Speaker, "How Will Dodd-Frank Act Affect Me?" Withers' The Old And The New Seminar, Zurich and Geneva, Switzerland, February 2011. 
  • Speaker, "SEC Regulation of Family Offices," MetCircle, New York, January 2011.
  • Author,  "Dodd-Frank and Rules on Foreign Private Advisor Exemption," Offshore Red, December/January 2010/11. 
  • Author, "Will You Qualify as a Foreign Private Adviser under Dodd-Frank?" Private Banker International, December 2010. 
  • Presentation on "Compliance and Regulatory Environment for Fund Managers," IvyPlus Funds, December 2010.
  • Speaker, "A Brave New World at the SEC," Pictet Family Offices Conference, Hong Kong, November 2010.
  • Panelist,  "Coping with the New Normal for Family Offices," Bessemer Trust Family Office Roundtable, New York, November 2010. 
  • Speaker, "Regulatory Reform - What Family Offices Should Know," NYSSCPA's Family Office Committee, New York, November 2010. 
  • Panelist, "Managing a Family Office in a Changing Legal Environment," Family Office Exchange Fall Forum, Chicago, October 2010.  
  • Presentation on  "Regulation Impacting Single Family Offices," Institute for Private Investors Spring Forum and Advisor Roundtable, New York, May and June 2010. 
  • Presentation on "Regulatory Reform: What Family Offices Should Know," Northern Trust, June 2010.
  • Presentation on "Storm Warning From Washington - The Elimination of the Private Adviser Exemption," Hong Kong, Singapore and Taipei, April 2010.
  • Presentation on "Danger Ahead! Legislative Update for Family Offices,"  Philadelphia Family Office Group, April 2010.

On a personal note

David has a love of animals, especially his two dogs.  His favorite pastime is the study of European and American history and biography.

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