AMY B. CAIAZZA
Amy Caiazza is a corporate and securities associate in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati. She advises participants in the financial services industry on regulatory, transactional, and counseling matters involving the securities and commodities laws.
Amy advises her clients in connection with the following issues, among others:
- Investment Platforms
Amy counsels clients that sponsor online investment platforms devoted to crowdfunding, peer lending, cryptocurrencies and other crypto-assets, and other strategies. Among other things, she provides advice about platform structuring, documentation, and regulatory issues, including a company's status as an investment adviser, broker-dealer, or investment company. She has worked with platforms that sponsor consumer, real estate, and other forms of lending programs, as well platforms facilitating angel and venture investing and other private securities offerings.
- Cryptocurrencies and Other Crypto-Assets
Amy has significant experience helping clients structure crypto-related offerings to comply with the securities laws, set up platforms that facilitate crypto-related investments, and create funds and other vehicles that allow those investments. She is a recognized leader in analyzing how crypto-assets and transactions in them are viewed under the securities laws and other regulations.
- General Securities Law Regulatory Advice
Amy advises companies, including technology and other operating companies, in determining whether they are subject to regulation as investment companies, investment advisers, broker-dealers, or other regulated entities. She also assists these entities in structuring their organization and operations so as to permissibly avoid regulation, and in seeking no-action, exemptive, and similar relief.
- Investment Advisers Act Regulatory Advice
Amy provides advice in connection with federal and state securities laws to both registered and unregistered investment advisers. She works with advisers, including new registrants, to develop compliance policies and procedures and disclosure documents, and also assists with the registration process. She also counsels clients that are integrating artificial intelligence into their investment management programs.
- Private Funds
Amy counsels sponsors and advisers to private funds with respect to regulatory obligations, including relevant exclusions or exemptions, under the Investment Advisers Act, Commodity Exchange Act, and other relevant securities laws. She also advises on structuring and transactional issues, and prepares organizational and disclosure documents for private offerings of securities.
Prior to joining the firm, Amy was an associate in the investment management practice at K&L Gates. Previously, she worked in the Office of Consumer Litigation at the Department of Justice. Before attending law school, Amy spent ten years developing and directing a research program on political engagement and women's political participation at a think tank in Washington, D.C.EDUCATION:
- J.D., University of Maryland Francis King Carey School of Law, 2011
Magna Cum Laude; Order of the Coif; Associate Editor, Maryland Law Review
- Ph.D., Political Science, Indiana University, 1999
- B.S., Georgetown University, Walsh School of Foreign Service, 1989
- Co-author, "ICOs at the End of 2017: What We Think We Know and What We Don't Know," WSGR Alert, October 16, 2017
- Co-author, "SEC Determines That Certain Virtual Tokens Are Securities," WSGR Alert, July 26, 2017
- Co-author, "Regulatory Considerations for Artificial Intelligence Programs Providing Advice to Individually Managed Accounts," WSGR Alert, July 7, 2017
- Co-author, "Initial Coin Offerings: An Overview of Regulatory Considerations," WSGR Alert, June 29, 2017
- Co-author with R. Rosenblum and S. Gault-Brown, "Five of the Most Critical Securities Law Questions Facing FinTech Companies," Bloomberg BNA, Securities Regulation & Law Report, March 21, 2016
- Co-author with R. Rosenblum and S. Gault-Brown, "Five New Year's Resolutions for the SEC," Law360, January 13, 2016
- Co-author with R. Rosenblum and S. Gault-Brown, "Peer-to-Peer Lending Platforms: Securities Law Considerations," Journal of Investment Compliance, Vol. 16, No. 3, 2015
- Bar of the District of Columbia
- State Bar of Maryland