Brings two-decade background advising global financial institutions on regulatory compliance/enforcement
 TKO Jun 4, 2018

K. Thomas Ko
Partner, New York

Practice Areas
Financial Services and Regulatory

[email protected]

Stroock has given a noteworthy boost to its leading regulatory support practice with the addition of Kwanghyon Thomas Ko, who has served as regulatory counsel for global banks and investment firms. He joins as a partner in New York.

Mr. Ko was most recently head of the bank regulatory practice at Nelson Mullins Riley & Scarborough in New York. He previously served as director and regulatory counsel at the Bank of Tokyo-Mitsubishi UFJ, as well as head of the regulatory group at CIBC World Markets and Canadian Imperial Bank of Commerce. He also practiced in the financial services and regulatory groups at law firms Reed Smith and Sullivan & Cromwell.

Mr. Ko advises banks and financial holding companies on all regulatory matters, including the Bank Holding Company Act, Dodd-Frank and Volcker Rule compliance and anti-money-laundering requirements and sanctions. He represents banks and their subsidiaries in front of federal and state regulatory bodies, such as the Federal Reserve, OCC, FDIC, SEC and CFTC, in regulatory and enforcement matters. He also advises broker-dealers, investment advisers and alternative investment vehicles on FINRA, NFA and other regulatory matters.

During his tenures with multinational banking institutions, Mr. Ko was responsible for compliance matters and regulatory advice on strategic projects, including acquisitions, divestitures and restructuring. He reviewed and advised on the legality of new financial products, as well as on the application of U.S. law on affiliates abroad and of non-U.S. law on domestic operations.

Stroock co-managing partner Jeff Keitelman said, “Tom brings an extraordinary breadth of experience handling regulatory, compliance and corporate matters for global financial institutions – he makes a wonderful addition to our financial regulatory team. He’s represented leading international banks and financial firms before every major federal regulator and also many state agencies. Our regulatory work is an important complement to our transactional and litigation counsel. Tom’s arrival will be welcome news for our many financial institution clients.”

Mr. Ko said, “I’ve long been aware of Stroock’s eminence in the financial regulatory arena, from its extensive tax and ERISA team to its work on CFIUS reviews and consumer finance matters before the CFPB. I’m pleased to add my own mix of regulatory experience to the Stroock brand.”

Mr. Ko received his J.D. from Indiana University School of Law, magna cum laude, Order of the Coif, where he was on the staff of the Indiana Law Journal. He earned a B.S. in Biology from MIT.