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John Han

John Han focuses his practice on regulatory advice, counseling and defense for broker-dealers and investment advisers. Immediately prior to joining the firm, John served as in-house counsel at LPL Financial, a registered investment adviser and one of the largest broker-dealers in the country. Prior to that, he spent a decade as an enforcement attorney at the Financial Industry Regulatory Authority. John began his career as a criminal prosecutor at the New York County District Attorney’s Office. *Licensed in New York. Practicing in North Carolina pursuant to Rule 5.5(e) of the North Carolina Rules of Professional Conduct.
John Han has written 1 posts for MVA White Collar Defense, Investigations, and Regulatory Advice Blog

The Clock is Ticking for Investment Advisers to Self-Report Mutual Fund Share Class Violations

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On February 12, 2018, the U.S. Securities and Exchange Commission announced an initiative to address undisclosed conflicts of interest by investment advisers in the context of mutual fund share classes. Dubbed the Share Class Selection Disclosure (“SCSD”) Initiative, the program encourages investment advisers to self-report potential violations by June 12, 2018, in exchange for favorable … Continue reading →

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As government authorities around the world create a constantly evolving regulatory environment and conduct overlapping investigations, companies are facing perhaps the most challenging environment. Moore & Van Allen has created this blog to help keep our clients up to date in these fast-moving areas and to serve as a thought leader as regulations and enforcement policy continue to develop. Our blog is a combined effort of Moore & Van Allen’s White Collar, Regulatory Defense, and Investigations team and our Financial Regulatory Advice and Response team.

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