National Regulatory Services Senior Director Mederic Daigneault Joins Carlton Fields

Financial Services Regulatory   |   Securities Litigation and Enforcement   |   Securities & Investment Companies   |   February 27, 2023
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This news also appeared in Connecticut Law Tribune and Citybiz

HARTFORD, CT – Mederic Daigneault has joined Carlton Fields as a shareholder in the firm’s Financial Services Regulatory Practice in Hartford, Connecticut. He was most recently a National Regulatory Services (NRS) senior director who counseled businesses and institutions on regulatory financial services matters.

Daigneault has over two decades of experience working closely with national and international financial services firms, comprised of investment advisers, private fund managers (including hedge fund and private equity fund managers) and multi-family offices to identify their organizations' regulatory obligations, unique conflicts of interest, and other risks in the development and implementation of comprehensive compliance programs. He has assisted hundreds of firms in fulfilling their regulatory obligations, resolving material compliance deficiencies and violations, and navigating SEC examinations.

“Med brings deep experience in the application of fiduciary principles, regulatory requirements and best industry practices, as well as a demonstrated track record of beneficial collaboration with clients of various sizes and structures,” said Shareholder Ann Began Furman, co-chair of the firm’s Financial Services Regulatory Practice.

Added Hartford Office Managing Shareholder Frank Appicelli, “We are thrilled to welcome Med to the firm. He adds a wealth of knowledge and a unique perspective that will complement the firm’s growing group of regulatory, compliance, and securities enforcement and litigation attorneys.”

As a senior director in NRS’ consulting division, Daigneault supervised a staff of veteran consultants with backgrounds as attorneys, former CCOs, senior financial industry professionals and regulators, including SEC, FINRA and state securities regulators. Daigneault also served as senior consultant for NRS’ investment advisory services, and senior director of NRS’ private fund services until 2018.

During his time as a consultant, Daigneault conducted mock SEC examinations and compliance reviews of advisers of various sizes ranging from prominent investment managers with global operations and intricate hedge fund complexes, to smaller yet sophisticated firms. He has also drafted and amended Form ADV disclosures for hundreds of investment advisers at both the state and federal levels, including dozens of hedge fund and private equity fund managers.

“Joining Carlton Fields is an exciting opportunity for me to apply the decades of experience I’ve gained assisting businesses with their compliance needs,” Daigneault said. “I look forward to working with this talented group of lawyers and expanding our footprint in the regulatory space.”

Daigneault earned his J.D. from Boston College Law School and his B.A. from Wesleyan University. He also received a Business Management Essentials Certification from Harvard Business Publishing.

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