About Stanley V. Polit
Stanley Polit concentrates his practice on helping American and international financial institutions navigate complex domestic and cross-border transactional and regulatory matters. He routinely advises private fund managers, proprietary trading firms, registered investment advisers and other financial institutions regarding a host of investment management matters, including those related to fund formation and compliance issues and US and foreign regulatory license applications.
Helping clients navigate cross-border challenges
Stan knows that when financial institutions want to expand globally, they need an adviser who intimately understands their business and legal needs across multiple jurisdictions. As clients embark on this process, Stan is able to leverage his extensive cross-border private funds and regulatory experience to help them develop pragmatic and efficient strategies for growth.
Because of the increasingly global nature of the private funds and proprietary trading industries, Stan frequently counsels clients on both regulatory and corporate matters related to the establishment and ongoing operations of their regulated US and international affiliates. He frequently leads cross-border legal teams tasked with handling all initial and ongoing regulatory and corporate issues related to such entities.
Prior to joining Katten, Stan served as a council member for a national crisis management firm, where he specialized in crisis communication and merged media strategies. He has lectured extensively and conducted trainings related to these topics at numerous national and international conferences.
During law school, Stan received numerous public interest fellowships and awards for his work with the Penn Housing Rights Project, a student-led pro bono project that provides free legal assistance to those facing landlord-tenant disputes. He continues to maintain an active pro bono practice.
- Private funds and investment management
- Private equity and real estate fund formation
- Proprietary trading firms
- Quantitative and algorithmic trading
- Financial services regulatory and compliance
December 12, 2017
December 14, 2016
Corporate & Financial Weekly Digest, Featuring Articles on the Latest Swap Regulations and Position LimitsSeptember 20, 2019
Corporate & Financial Weekly Digest, Featuring Articles on SEC Enforcement Actions, Filing Fees and CFTC Committee UpdatesAugust 30, 2019
Corporate & Financial Weekly Digest, Featuring Articles on New FINRA Guidance on Public Offering Review Process, Final Results of FINRA's Mutual Fund Waiver Initiative, and New EU Prospectus RegulationJuly 19, 2019
Corporate & Financial Weekly Digest, Featuring Articles on SEC Private Securities Offering Exemptions, NFA Surcharge Notice and Ensuring EMIR REFIT Effective in UKJune 21, 2019
Corporate & Financial Weekly Digest, Featuring Articles on IOSCO Multilateral MOU for Cross-Border Enforcement and the CTI's Templates for Cost DisclosuresMay 24, 2019
Corporate & Financial Weekly Digest, Featuring Articles on a FINRA Warning on Imposter Websites and Proposed Rules Changes on Position Transfers and Investigations Into Disciplinary Matters From the CBOEMay 3, 2019
Corporate & Financial Weekly Digest, Featuring Articles on Regulation S-K, Regulation NMS and Extraordinary Market Volatility, Corporate Financing Rule and UK Cryptoassets RegulatorsApril 12, 2019
Corporate & Financial Weekly Digest, Featuring Articles Exploring Rule Changes on the Horizon for FINRA, the NFA and CFTC, as well as the FCA and PRA's Climate Financial Risk ForumMarch 15, 2019
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