Richard Mertl

Richard Mertl

Practice Areas

Richard Mertl is a counsel in KWM’s U.S. banking & finance and investment funds practice groups.  

Richard has extensive experience advising clients on many aspects of banking and finance, structured finance, investment fund formation, private placement of investment securities and corporate governance.  His experience in the establishment and management of investment funds includes fund structuring, Regulation D private placement, and Volcker Rule compliance advisory.  His structured finance and asset securitization experience includes the structuring and private placement of debt securities pursuant to Rule 144A and Regulation S under US securities laws, bankruptcy remoteness structuring and analysis, and private fund structuring to comply with risk retention rules under the Dodd-Frank Act. 

Richard is also a USPTO registered patent attorney, and he has acted as defense counsel in patent litigation before the U.S. International Trade Commission (ITC).  In addition, Richard advises U.S. non-profit organizations in connection with corporate governance and tax structuring matters.  

Experience

Richard Mertl joined King & Wood Mallesons in 2018. Richard began his career as an attorney in the New York office of Freshfields Bruckhaus Deringer.  At Freshfields, his practice involved bilateral and syndicated bank lending, representation of investors in CDO and other structured finance investment products in connection with the Lehman Brothers bankruptcy filing in 2008, and various aspects of structured finance advisory practice, including ISDA documentation and credit default swaps (CDS). He subsequently joined Schulte Roth & Zabel LLP, where he worked on private equity and hedge fund launches and asset securitizations for a client base consisting primarily of top-tier alternative investment fund managers.  Immediately prior to joining KWM New York office, Richard spent a year in Dechert LLP’s Global Finance practice group, where he advised fund and asset managers on securitization programs.

Outside of legal practice, Richard is a member of the executive committee of the China Securitization Forum (CSF) and a member of the Structured Finance Industry Group (SFIG)’s Chinese Market Committee.  He assisted CSF with its restructuring in 2012 and has also worked on the drafting of white papers and other outreach projects relating to the securitization industry in the U.S. and in China.

Richard graduated from the University of Pennsylvania Law School with a J.D. degree in 2008. Prior to that, he obtained a bachelor’s degree in Chinese language, culture and history from Fudan University in 2001. After graduating from Fudan, he also studied for two years at East China University of Political Science and Law, where he earned a bachelor's degree in law.

In 2017 he completed an MBA-style training course titled "Fintech for Future Commerce" offered by the Massachusetts Institute of Technology.  

Richard is qualified to practice law in New York State and before the United States Patent and Trademark Office.

Richard's working languages are English and Chinese.

Location

Legal insights

This alert sums up the two cease-and-desist orders and the joint statement the SEC issued on 16 Nov 2018.

23 November 2018

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