Stephen P. Wilkes is an associate in the firm's Employee Benefits & Executive Compensation Practice Group.
Stephen has gained broad experience representing clients on matters involving employee benefits, taxation and securities law, from both a regulatory and transactional perspective, for over 30 years. Stephen's practice today focuses mostly on investment management issues faced by the law firm's clients, where ERISA and related securities, corporate, or banking laws intersect with regard to the creation and delivery of financial products and services. This involves fiduciary and disclosure rules; compensation and fee arrangements; revenue sharing programs; broker-dealer, investment adviser, and service provider agreements; structuring or distribution of retirement plan investments in mutual funds, ETF's, collective funds, private equity funds, hedge funds; monitoring of proposed legislation and regulations, and regulatory compliance with agencies such as the SEC, DOL, IRS, FINRA and OCC.
Clients include plan sponsors, plan consultants, broker dealers, investment advisers, financial consultants, service providers, trust companies, banks, and private funds.
Publications and Speaking Engagements
Stephen has had numerous speaking engagements over the years before organizations such as the American Bar Association, New York City Bar Association, Texas Bar Association, CPA Society of NYC, Financial Analysts Society, Merrill Lynch San Francisco Roundtable, Goldman Sachs Retirement Plan Conference, Harvard Club of Dallas, Harvard Club of New York, ESOP Association, and the General Counsel Forum on varied ERISA and Investment Management matters. He has contributed as author or editor to numerous periodicals and journals, including The Business Lawyer.
In General. Stephen earned his J.D. from Emory University School of Law and his M.B.A. from Emory University. He received his B.A. from the University of Rhode Island.
Publications
2/1/2011, The Impact of 408(b)(2) on Service Providers
Bulletin
Fred Reish, Bruce Ashton, Stephen Wilkes
1/1/2011, The New Form ADV Part 2: Convergence of ERISA and Securities Law Disclosure
Bulletin
Stephen Wilkes, Fred Reish
Speaking Engagements
1/31/2012, 100 Women in Hedge Funds
"Underfunded and Over-solicited: How to Stand Apart to Attract ERISA Plan Assets"
David Matteson, Stephen Wilkes, San Francisco, CA
1/24/2012, BayBio "Managing the Workforce - Update on Employee Misclassification"
Cheryl Orr, Heather Sager, Stephen Wilkes
11/9/2011, Allianz, Blackrock, J.P. Morgan, Prudential Investments, Prudential Retirement and Victory Funds
"ERISA Roundtable Discussion
Stephen Wilkes, San Francisco, CA
10/31/2011, NH Hicks, Ltd.
"A Review of Qualified Retirement Plans Under Current Law"
Stephen Wilkes, San Jose, CA
10/25/2011, NH Hicks, Ltd.
"A Review of Qualified Retirement Plans Under Current Law"
Stephen Wilkes, Walnut Creek, CA
10/21/2011, LIMRA "Fiduciary Advice Proposal: Challenges for Broker-Dealers and Insurance Company Providers"
Fred Reish, Stephen Wilkes
10/19/2011, NH Hicks, Ltd.
"A Review of Qualified Retirement Plans Under Current Law"
Stephen Wilkes, Sacramento, CA
10/11/2011, Conifer Group, Drinker Biddle and Harb, Levy & Weiland
"How to Start a Hedge Fund"
David Matteson, Stephen Wilkes, San Francisco, CA
10/6/2011, Loring Ward
"The Retirement Plan Regulations You Need to Know"
Stephen Wilkes
5/19/2011, Western Pension & Benefits San Francisco - 2011 Spring Conference
"A Tangled Web - Current Issues Involved in Harmonizing Fiduciary Standards for Dealers/Investment Advisers and the Impact on Plans"
Stephen Wilkes, San Francisco, CA
5/3/2011, LIMRA
"ERISA §408(b)(2): A Tidal Wave of Change for Broker-Dealers"
Stephen Wilkes
