Sheen Munshi
Attorney at Law
California
NY
About
My earlier years at large companies provided a foundation in structuring, compliance, and cross-border transactions that strengthens my… read more ability to spot issues early, balance competing priorities, and deliver practical solutions. I work independently, handle every stage of the transactions, and adapt quickly to the pace and nuance of high-caliber corporate work.
experience
Practice Areas
Work History
Rose Bowlus Law, Sheen Munshi PLLC
Corporate and Securities Attorney
Apr 2023 - Present
Advise public companies, broker-dealers, and investment advisers regulated by the CFTC (Commodities Exchange Act), SEC (the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisers Act of 1940, and FINRA rules, as well as equivalent regulations in Canada, EU, UK, and Asia.
U.S. Securities and Exchange Commission (SEC)
Special Counsel
Jul 2023 - Jun 2024
Researched and proposed rulemaking related to novel assets, private investment funds, and other offerings, including the joint CFTC and SEC amendment to form PF and joint FinCEN and SEC CIP amendment. Recommended legislative changes to the Commissioner and Congress, addressing regulatory issues that inhibit private investment through private equity, venture capital, and hedge funds.
Crypto.com
Legal Counsel
Nov 2021 - Jan 2024
Second attorney hired in house; lead legal advisor providing expertise in SEC, CFTC, BSA, and FINRA rules and regulations, as well as foreign equivalents in Canada, the EU, and Asia.
Verify Markets
Legal Counsel
Feb 2019 - Oct 2021
First legal hire for a startup entity providing advisory services to private investors and target companies. Advised entities on rules and regulations promulgated by the SEC under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisers Act of 1940, including public companies, registered investment advisers, and exempt reporting advisers.
Wealthfront
Compliance & Regulatory Counsel
May 2018 - Jan 2019
Provided legal advice to RIA and BD on product development, including structuring, registering, and launching investment funds based on applicable SEC regulations; reduced SEC fines 4X to $250K. Led legal advice for key stakeholders including C-Suite, Product/PMs, Engineers, Operations, & Marketing.
AXA Investment Managers
Compliance Officer
Apr 2016 - Apr 2018
As one of two US attorneys for a $900bn AUM asset manager, acted as sole point of contact for all global investment teams covering all asset classes (250+ vehicles, 30+ entities, and 40+ jurisdictions). Structured investment funds, vehicles, and accounts, preparing offering materials (e.g., PPMs, operating agreements, onshore/offshore master-feeder arrangements, side letters, prospectuses, etc.)
ISS (fka MSCI)
Associate
Nov 2013 - Mar 2016
Promoted within one month to manage the international team that advised asset managers representing $5tn+ AUM for the leading institutional advisor research company, saving 20+ at risk clients, and initially hired to the ESG team advising asset managers representing only $500bn AUM. Advised clients on merger and acquisition proposals, corporate governance, and other voting matters.