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Clifford J. Alexander

Clifford Alexander concentrates in banking, investment company, broker-dealer, and investment adviser law. He formerly served as primary outside counsel to the National Society of Compliance Professionals, an association of investment adviser and broker-dealer compliance officers.

He has had a varied financial practice that includes the organization of four national banks as limited purpose trust companies and the representation of numerous state and federally chartered banks on their trust, investment management, and securities activities. His legal experience also has included representation of large and small foreign financial firms establishing branches and affiliates in the United States, and U.S. banks establishing offices and affiliates in other countries.

From 1982 to 1983, Cliff served as counsel to the Task Force on Banking Boards and Commissions of the President's Private Sector Survey on Cost Controls (Grace Commission). From 1975 to 1977, he was assistant counsel to the Securities Subcommittee of the U.S. Senate Committee on Banking, Housing and Urban Affairs. While on the Committee Staff, he was responsible for a study of the Glass-Steagall Act and was involved in the legislative hearings on the International Banking Act of 1978. He was with a Boston law firm from 1970-1975; and from 1967-1970, was with the Securities and Exchange Commission.

  • Best Lawyers in America, Mutual Funds Law (2006-2022)
  • American Bar Association
    • Committee on Developments in Investment Services
    • Subcommittee on Securities Activities of Banks of the Banking and Corporations Section
  • Boston Bar Association
  • Federal Bar Association

Cliff has served as chairman and has been a faculty member of a number of conferences sponsored by the American Bankers Association, Investment Company Institute, No Load Mutual Fund Association, American Bar Association, Practicing Law Institute, and American Law Institute.

Additional Thought Leadership Pages
  • Making Sense of Auditor Independence Issues,” The Investment Lawyer, Vol. 23, No. 12, December 2016
  • Co-Editor, Money Manager's Compliance Guide
  • Co-Editor, The Investment Lawyer
  • Contributing Author, Problems of Fiduciaries Under the Securities Laws, American Bar Association
  • "How Auditors Now Assess Their Independence,", September 12, 2017
  • “Impact of Pay-to-Play Rules in the 2016 Election Cycle,” Investment Management Alert (August 18, 2016) (This article was published by Money Manager’s in October 2016)
  • "Investment Management Newsletter," K&L Gates publication, Winter 2007
  • "Investment Management Update," K&L Gates publication, Summer 2007
Additional News & Event Pages
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