Rob Sobol
Interim Counsel - Financial Services Legal Consultant (Mla -contract) at Morgan Stanley
Based in Huntingdon Valley, United States
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Seniority
Staff
Department
Other
Location
Huntingdon Valley
Industry
Financial Services
Company size
100K
Contact information
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r•••••••@morganstanley.com
Phone
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Background
About Rob Sobol
Advise on Legal, Regulatory, Compliance, Contracts, Disclosure, Marketing, Onboarding, Due Diligence, Governance, Regulatory Inquiries and Remediation, and Agreements Regarding: • Mutual Fund Custody, Distribution and Operations ($300 Billion AUC). TF and NTF Platforms. • Alternative Investments Custody and Operations ($16 Billion AUC). Institutional and RIA Platforms. • RIA Technology - VEO One - Open Architecture Launch, All Vendor Agreements, All API Agreements, Ongoing Advice. • Contracts - Commercial, Vendor, Master Services, SaaS, Licensing, RIA / Advisory, Investment Management, Custody / Distribution, Client, Regulatory, Affiliate / Partnership / Alliance, Regulatory, Shareholder Services, SDBA (Plan Sponsor, Participant, Corporate Services). • Retirement (Self-Directed Brokerage Accounts ($26 Billion AUC) and Plan Accounts (IRA and 401k). • Robo-Advisory ($26 Billion AUC). • Stock Plan Services / Designated Brokerage. • Technology / Innovation – Patent Program Inventor, Think-Off Competition (funded), Alternative Investments and Mutual Funds Business Processes Redesign, Fiduciary Rule Tool. • Multiple Awards Winner – Mutual Fund Business Revenue Enhancement and Legal Risk Mitigation. Patent Program Winner, Think-Off Finalist.
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