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Marlon Paz

Mayer, Brown & Platt
Securities/Compliance

Marlon consults as TheXchange®’s Regulation and Compliance Practitioner. He is the Head of the Mayer, Brown and Platt Broker-Dealer Regulation and Compliance practice.

Marlon often engages in complex matters with his substantive expertise in many regulatory issues under SEC, FINRA and SRO rules and on matters concerning status and registration requirements. These include financial responsibility issues, automated trading and risk, sales practice rules, privacy and rules relating to self-regulatory organizations (SROs).

Marlon played a crucial role in developing the SEC's positions on many important regulatory and enforcement matters. In addition, Marlon served as the Principal Integrity Officer of the Inter-American Development Bank. In this role, he drove compliance procedures relating to integrity, due diligence, anti-money laundering, offshore financial centers and the Office of Foreign Assets Control Specially Designated Nationals List.

Marlon serves as the Chair of the Trading and Markets Subcommittee and Chair of the International Business Law Committee of the Business Law Section of the American Bar Association.