Photo of Michele "Mitch" L. Gibbons

Michele "Mitch" L. Gibbons

Shareholder

Education

New York University School of Law, New York, New York, 1998, J.D.; Law Review: Annual Survey of American Law

Harvard University,Cambridge, Massachusetts, 1995; M.P.P. Journal: Harvard Journal of Hispanic Policy

Trinity University, 1993, B.A.; Honors: magna cum laude; Honors: with Honors

Honors

Lawyers on the Fast Track, H Magazine (recognized), 2009, 2010

Texas Bar Foundation Fellow

Bar Admissions

Texas

New York

Profile

Mitch Gibbons conducts a comprehensive securities regulatory and compliance practice with a particular focus on investment adviser, broker-dealer, and private investment fund matters. She counsels private equity funds, hedge funds, real estate funds, energy funds, funds of funds, and registered investment companies on organizational, regulatory, compliance, and transactional matters and advises companies and investors in related transactions. She also advises clients on a wide range of regulatory issues including, the Dodd-Frank Wall Street Reform and Consumer Protection Act, advertising, antimoney laundering, social-networking, crowdfunding, cybersecurity, trading, execution, custody, privacy, disaster recovery, insider trading, and international securities issues.

Mitch is a frequent speaker at national and industry conferences and contributes to several industry publications.

Mitch is on the Houston Advisory Board of the Tahirih Justice Center, and she is a member of the New York State Bar Association, Houston Bar Association, National Asian Pacific American Bar Association, Harvard University Club, and 100 Women in Hedge Funds.

News

  • Determining whether your firm falls under red flags rule begins with a risk assessment, IA Watch (quoted), 2013
  • Adviser charged with social media abuse wins on that claim but loses case, IA WATCH (quoted), 2012
  • Compliance can save a firm trouble by checking answers provided on DDQs/RFPs, IA Watch (quoted), 2012
  • Your Advertising and Marketing Reviews Must Keep Pace with Technology, IAWatch (quoted), 2011
  • Risks, Liabilities Lie in Way of Organizations Trying to Embrace Social Media, Lawyers Say, BNA Securities Law Daily (Interviewed), 2010
  • Impact of the Private Fund Investment Advisers Registration Act of 2010, Illinois Venture Capital Association (Interviewed), 2010 
  • Taking the Scare out of Social Networking, ACA Insight, (quoted extensively), 2010
  • Regulators Watch Firms Push Boundaries on Outside Business Activities, IAWatch (quoted), 2010 
  • Compliance Policies Remain Vital when it Comes to Social Media, IAWatch (quoted), 2010

Presentations and Events

  • Compliance for Small Firms. NSCP National Meeting, Baltimore, Maryland, 2015

  • Insider Trading, Information Flows and Research Practices, NSCP Regional Meeting, Houston, Texas, 2014

  • Fall Compliance  Workshop, Investment Advisers Association, Houston, Texas, 2013

  • Intro to Compliance for Private Funds, 2013 NSCP National Meeting Washington, D.C., 2013

  • ACA's Fall 2013 Compliance Conference, San Francisco, California, 2013

  • Social Media Crash and Burn: Cleaning up the Mess & Rebuilding LIVE Webcast, 2013 

  • The Use of 'Finders' in Connection with Purchases or Sales of Companies, and Related Broker-Dealer Registration Issues Training Seminar, Webcast, 2013

  • Hot Topics in Marketing and Advertising: Social Media and the JOBS Act, ACA Spring Conference Nashville, Tennessee, 2013

  • Pay to Play Regulations and Compliance for Investment Advisers, National Meeting New York, New York, 2013

  • Preparing for an SEC Exam, NSCP Southern Regional Meeting Atlanta, Georgia, 2013

  • IAA Fall Compliance Workshop Austin, Texas, 2012

  • IAA Investment Adviser Fall Compliance Workshop Austin, Texas, 2012

  • National Association of Real Estate Investment Managers Legal & Compliance Forum Chicago, Illinois, 2012

  • National Meeting, US Regulation of Hedge Funds, Washington, D.C., 2012

  • Social Media for the Unsociable Lawyer, State Bar of Texas - Texas Minority Attorney Program, Houston, Texas, 2012

  • Power On - Plug into your most Effective Performance, Texas Women Lawyers Conference Houston, Texas, 2012

  • IA/PF Conducting Your Annual Review, NSCP Southern Regional Meeting Dallas, Texas, 2012

  • Compliance Workshop, Investment Adviser Association Dallas, Texas, 2011

  • Annual Meeting, National Society of Compliance Professionals Baltimore, Maryland, 2011

  • NSCP Southern Regional Meeting Dallas, Texas, 2011

  • Legal and Regulatory Issues for Private Equity Funds, University of Houston Bauer School of Business Lecture, Houston, Texas, 2011

  • Electronic Document Retention, Privacy and Safeguarding, IA Compliance Best Practices Summit, 2011

  • IAA Investment Adviser Compliance Conference, Advertising in a New Era Washington, D.C., 2011

  • Social Media and Electronic Communications in Compliant Marketing Practices, FRA Webinar, 2010

  • Social Media and Online Advertising & Marketing: Know the Compliance Borders, IAWatch Webinar, 2010

  •  Social Networking for Investment Advisers, Investment Adviser Association Regional Conference, 2010

  • Marketing and Advertising Issues for Real Estate Advisers, NAREIM Fall Forum Convention, 2010

  • Social Media and Online Advertising & Marketing: Know the Compliance Borders, IA Watch IA Compliance Fall Conference, 2010

  • Use of Social Media and Electronic Communications in Marketing & Advertising: Leveraging the Internet to Grow Your Business, FRA Advertising and Marketing Conference, 2010

  • Impact of the Private Fund Investment Advisers Act of 2010, IVCA Profile Q&A Chicago, Illinois

  • Marketing Guidance for Private Fund Managers, ACA Compliance Group Webinar, 2010

  • Social Networking and Internet Marketing for Investment Advisers, Investment Adviser Association, 2010

  • Foreign Investments in Brazil, LP/GP Roundtable - Private Equity & Real Estate investments in Brazil, 2010

  • Advertising and Distribution Compliance Conference, FRA Marketing, 2010

  • Information Security, Identity Theft and Privacy Regulations, FRA Investment Advisor Compliance, 2010

  • Regulation D Offerings and Private Investment Funds, New York Conference, 2009

  • NAREIM Compliance Forum: Private Placements, 2008

  • Seminar: Broker-Dealer Fundamentals, 2008

  • Privacy Safeguarding, NSCP 2007 National Meeting, 2007

  • Most Common Pitfalls Made by Advisers, ACA Compliance Webcast, 2007

  • Website and Internet Marketing Compliance, FRA Conference, 2007

  • Website and Internet Compliance Issues for Investment Advisers, FRA Webinar, 2007

  • FRA Marketing and Advertising Compliance Forum, 2007

  • FRA Investment Adviser Compliance Forum, 2007

  • ACI Legal and Compliance Hedge Fund Forum, 2006

  • FRAHedge Fund Forum, 2006

  • NSCP 2006 National Meeting

  • FRA Marketing and Advertising Compliance Forum for Investment Advisors, 2006

  • You lost your blackberry WHERE? A Practical Seminar for Protecting your Company’s Business and Reputation, Counsel for Minority Counsel Seminar, 2006

  • NASAA State Broker-Dealer Compliance Training, 2006

  • ACI Operational and Compliance Best Practices for Hedge Funds Conference, 2006

  • FRA Investment Adviser Forum, 2006

  • FRA Conference: Annual Compliance Reviews, 2005

  • FRA Hedge Fund Regulation and Compliance Forum, 2005

  • ACA Webcast on Best Execution Compliance, 2005

  • Hedge Fund Regulation, SEC/NASD/NYSE Joint Regulatory Training Conference, 2005

  • Safeguarding Electronic Communications, ACI Best Practices for Hedge Funds, Risk Mitigation Strategies for Senior Decision Makers, 2005

  • Hedge Fund Pre-Conference Workshop and Panel on Investment Adviser Advertising, FRA 3rd Annual Investment Adviser Compliance Forum, 2005

  • Securities Laws, National Association of Real Estate Investment Managers’ Senior Officer Compliance Discussion Forum, 2005

  • US Regulation of Hedge Funds, US Regulation and Regulatory Developments Conference, 2005

  • The New Hedge Fund Adviser Registration Rule, Hedge Fund Webcast, 2005

  • Hedge Funds-Developing and Implementing Compliance Best Practices in the New Regulatory Environment, 2005

  • Understanding the Regulation of Hedge Funds, 4th Annual Hedge Fund Regulation and Compliance Forum, 2004

  • 3rd Annual Hedge Fund Regulation and Compliance Conference, 2004

  • Creating Effective Privacy Safeguarding and Business Continuity Procedures, Complying with the New Adviser Compliance Rule 206(4)-7, 2004

Publications

Articles & Publications

  • Proposed Legislation May Require Real Estate Fund Managers to Register, PREA Quarterly, 2009
  • Hedge Fund Regulation Developments, coauthor, The Investment Lawyer, Vol. 11, No. 2, 2004
  • Hedge Fund Regulation Developments, coauthor, The Investment Lawyer , Vol. 10, No. 12, 2003
  • NASD Issues Notice to Members — Broker Obligations When Selling Hedge Funds, The Investment Lawyer, Vol. 10, No. 4, 2003
  • Hedge Fund Marketing by Broker-Dealers: Questions and Comments in Response to Recent Developments, coauthor, Journal of Investment Compliance, 2003