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Arik advises investment managers, including hedge funds, private equity funds, broker-dealers, and other financial services clients, on global compliance issues, Investment Adviser Act requirements, and fund-related regulations. He handles a broad range of regulatory, compliance, and transactional matters involving trading issues, disclosures, regulatory filings, and operations.
With extensive experience working with registered investment advisers both in house and at an Am Law 10 law firm, Arik helps his clients maintain compliance with applicable regulatory regimes through the development and implementation of effective policies and best practices.
Before joining Lowenstein, Arik was Director and Regulatory Counsel at Guggenheim Investments, a global asset manager, where his responsibilities included serving as Chief Compliance Officer for hedge fund and private equity managers. Prior to Guggenheim, Arik was a Vice President at Barclays Capital Inc., where he provided advice on SEC/CFTC/FINRA rules and regulations and created compliance programs, including annual risk reviews, gap analysis, forensic testing, and reporting for the company’s private equity/credit, asset managers, and hedge fund trading businesses.
A former associate in Sidley Austin LLP’s Securities Enforcement and Regulatory Practice, Arik has represented clients and advised on securities laws, regulations, and exchange rules; regulatory filings and disclosure documentation; and responses to SEC and FINRA regulatory examinations, enforcement, and other actions.
Arik began his career on Wall Street as a derivatives specialist with JPMorgan Chase & Co.