Amber V. Phillips
Partner
Amber V. Phillips’ practice focuses on corporate and financial transactions, particularly structured finance and capital markets.
Her practice encompasses complex U.S. and international transactions and related regulatory advice, including registered and private placement debt offerings, collateralized loan obligations, agency and private label mortgage-backed securities transactions, mergers and acquisitions, private equity, and asset-based lending transactions. She also has experience in the formation and regulation of U.S. and international investment advisers, and she counsels international companies on compliance with U.S. securities law requirements and related corporate governance matters.
Amber joined the firm in 2014 and became a partner in 2024. From 2018 to 2020, she was resident in the London office. In the second half of 2016, she was seconded to Credit Suisse’s Secured Products Group in New York, where she advised on asset-backed securitizations across a variety of asset classes including transportation, credit card and student debt, commercial and residential mortgages, and esoterics.
Notable Experience
Major underwriters such as Barclays, Citigroup, Credit Suisse, Goldman Sachs, Natixis, and Nomura, and collateral managers such as Owl Rock, in the structuring and offering of collateralized loan obligations.
Sponsors such as Barclays, Citigroup, Nomura, Jefferies, and Amherst Pierpont in the structuring and offering of Ginnie Mae, Freddie Mac, and Fannie Mae single-family REMICs, multi-family REMICs, and HREMICs.
The Hellenic Republic in its international bond issuances.
Deutsche Bank in regulatory matters relating to the IPO of DWS Group GmbH & Co. KGaA and the related reorganization of its global asset management business.
Amundi in regulatory matters relating to its acquisition of Pioneer Investment from Unicredit.
Lenders and borrowers such as Goldman Sachs, KKR, and Owl Rock under secured financing facilities for the acquisition of a variety of financial instruments.
Major U.S. and international private equity funds, hedge funds, and financial services firms on enforcement and regulatory issues relating to the Investment Advisers Act.
Selected Activities
trigger- Policy Analyst, New Zealand Parliamentary Service, 2009-2011
- Policy Analyst, Ministerial Support Branch, New Zealand Department of Internal Affairs, 2011
Publications
FinCEN Imposes AML Program and SAR Filing Requirements on Investment Advisers
Fifth Circuit Vacates Private Fund Adviser Rules in Entirety
Another Step Towards Federal AML Obligations for Investment Advisers
SEC Announces “AI-Washing” Cases Against Investment Advisers
ABS Conflicts of Interest Rule: Potholes on the Road to Implementation
FinCEN Tries Again . . . to Impose AML Requirements on Investment Advisers
SEC Adopts New Rules Broadening Dealer Registration Requirements
SEC Staff Play the Hits: 2024 Exam Priorities Focus on Private Funds, Marketing, and Crypto
SEC Risk Alert on Examinations: Who Gets Examined and Scope of Exams
SEC Expands the Scope of Its Marketing Rule Examination Sweep – But Still No Guidance
The First Shoe Drops—SEC Adopts the Initial Amendments to Form PF
SEC Risk Alert Identifies Key Compliance Issues for New (and Not New) Registered Advisers
SEC and CFTC Propose Further Amendments to Reporting Obligations for PE and Hedge Funds
New ESG Rule Proposal Raises the Stakes under SECs New Marketing Rule
SEC’s ESG Task Force Comes Out Swinging With Inaugural Enforcement Action
SEC Division of Examinations Reinforces Gensler Initiatives in Its 2022 Exam Priorities
SEC Imposes Significant New Reporting on Advisers in Proposed Amendments to Form PF
Transitioning ‘Tough Legacy’ LIBOR Contracts – Different Strokes for Different Folks?