Matthew Thornton Email & Phone Number

I am deeply engaged with a wide variety of policy issues, practices, and developments that affect investors, our members, and the financial services industry generally. My work falls into several buckets:POLICY AND ADVOCACY—Representing our industry to federal agencies, regulatory organizations, and Congress. This work entails extensive interaction with members, building consensus around policy recommendations, then advocating for those recommendations with regulators. Favorable developments and outcomes include:>> Fund proxy reform (added to the SEC’s agenda in 2020)>> Amendments to liquidity risk management framework (2016 and 2018)>> Reduced filing requirements for FINRA advertising rules (2016)SUBJECT MATTER EXPERTISE—Serving as an expert resource and SME within ICI, to our members, and to the media. Financial services companies follow complex statutes and rules. Managing a portfolio of legal and regulatory matters, I stay up to date on technical details, legislative and rulemaking initiatives, and emerging issues.>> I have shared policy-related expertise with reporters and been quoted in industry publications (Ignites, RiskNet.com, MLex).>> Within ICI, I am a resource to the Research, Government Relations, Operations, Public Communications, and Global groups and our Independent Directors Council.EDUCATION AND COMMUNICATION—Delivering panel presentations, educational programs, committee briefings, and other content to keep members and the industry at large informed about pertinent or changing policies, regulations, and legislation. Highlights include:>> Presenting at annual conferences with 1,000+ attendees.>> Forming and leading working groups and committees to regularly brief members, share practices, and formulate policy positions on strategic and pressing issues, such as liquidity risk management, advertising, and cross trading. >> Serving as a moderator, panelist, and presenter for industry events, webinars, and other educational sessions.

Washington, Dc

Washington D.C. Metro Area

Washington D.C. Metro Area

After earning my law degree, I expanded my industry knowledge and experience by joining Dechert's specialty practice area in financial services and asset management.The challenge—and the satisfaction—came from juggling multiple tasks and meeting the needs of sophisticated and demanding clients under tight deadlines.I enjoyed leading teams of attorneys and paralegals to complete high-pressure assignments. Even then, I sought opportunities to teach, mentor, and develop associates, building institutional knowledge while helping them advance their careers.I had a great deal of exposure to each client’s corporate structure, compliance protocols, and board dynamics. I gained an appreciation for best practices as well as a determination to make the complex practice of regulatory compliance as smooth and efficient as possible.

Washington D.C. Metro Area

In 7 years with SunTrust, I advanced through a variety of banking and asset management positions (Private Banking, Trusts and Estates, Private Client Services), honing my skills in listening to clients, helping them define their goals, and developing customized, comprehensive solutions that addressed investment, insurance, retirement, education, tax, and estate planning needs.I earned my CFP designation while with the bank and maintained it for more than 20 years. And, I earned a law degree in my spare time.Additional hands-on experience that I gained at SunTrust:>> Fulfilling fiduciary responsibilities >> Administering estates>> Managing agency, custody, and guardianship accounts

Baltimore, Maryland Area

The biggest challenge? Making 100 cold calls a day, after earning my Series 7, Series 66, and Maryland Life and Health Insurance designations.The reward? Hearing “yes” and then meeting with prospects and clients to design financial plans to help them reach their goals.

Juris Doctor (J.D.), Law

Bachelor'S Degree, Economics