Jerome Roche

Partner, Washington D.C.

“I have more than 20 years in private practice, as in-house counsel and for the government advising clients on financial regulatory matters. I have deep knowledge of the law, and aim to bring a pragmatic approach to highly complex issues.”

Overview

Professional experience

Education and qualifications

Published works

Overview

Jerome is widely regarded as one of the preeminent financial regulatory lawyers in the United States, including being selected by his peers for inclusion in The Best Lawyers in America in the practice area of Banking and Finance Law since 2013. According to Chambers USA 2018, clients consider Jerome to be a “very dedicated and focused” practitioner with “an encyclopedic knowledge of broker-dealer regulations.”

Jerome advises domestic and international financial institutions on the U.S. regulation of securities, derivatives and foreign currency transactions. He has specialist knowledge of the fintech sector and regulatory environment.

Jerome is often called upon to advise on cross-border regulatory issues, including counselling clients on the interaction between the U.S. and UK/European Union regulations.

Professional experience

Among the range of issues on which Jerome has expertise are:

  • drafting and implementing supervisory and compliance policies and procedures for regulated financial institutions
  • counselling customers and other counterparties of U.S. broker-dealers regarding customer protection rules, broker-dealer insolvencies, and the Securities Investor Protection Act
  • assisting clients obtain approvals for mergers, acquisitions and restructurings of regulated financial institutions
  • guiding financial institutions and trade associations in complying with, and commenting on, rulemaking efforts of the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission, Financial Industry Regulatory Authority, the National Futures Association, and other self-regulatory organisations.

Jerome served as attorney-adviser at the SEC from 1997 to 2000.

Education and qualifications

Jerome studied maths and computer science at Purdue University, Indiana and holds a Juris Doctorate from the University of Michigan Law School.

He is a member of the Hispanic Bar Association

Published works

Jerome is a prolific writer. Among his publications are:

“FINRA Investigations”, in Securities Investigations: Internal, Civil and Criminal, Practising Law Institute, Second Edition (October 2018)

“The Volcker Rule”, in Broker-Dealer Regulation, Practising Law Institute, Second Edition (September 2014)

Foreign Securities Broker-Dealers Conducting Business in the United States, LexisNexis 2018