17 Aug 2026
K&L Gates Adds Broker-Dealer Regulatory Partner Tim Foley in Washington, DC
"K&L Gates adds Tim Foley as a partner in its Asset Management and Investment Funds practice in Washington, DC; he will advise broker-dealers on regulatory compliance, enforcement and trading-related matters."
Foley joins K&L Gates from Linklaters LLP. He brings extensive experience advising broker-dealers and other financial institutions on regulatory compliance, enforcement, and trading-related matters. His practice focuses on representing US-registered broker-dealers in matters involving the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), self-regulatory organizations, and state and foreign regulatory agencies. He also counsels financial institutions on regulatory compliance matters involving trading and sales practices, corporate transactions, internal investigations, and regulatory risk management.
Foley has deep knowledge of broker-dealer operations, including institutional trading, retail sales, fund distribution and underwriting, and investment banking. He regularly advises multinational financial institutions on equity and fixed income sales practices, mergers and acquisitions advisory work, trading and reporting rules, electronic trading, cross-border fund underwriting and distribution rules, and other marketplace regulatory issues. Foley has conducted significant retail sales practice investigations involving complex products and alternative investments, and has represented clients in FINRA enforcement and market regulation matters involving market manipulation, fair pricing, trade reporting, and short sales.