Overview

Walé Oriola draws on his Securities and Exchange Commission (SEC) experience to provide counsel to investment advisers and investment companies and other investment management clients on regulatory and transactional matters. He advises on the formation, offering and operation of investment products, ongoing SEC regulatory, compliance and registration requirements, and Environmental Social and Governance (ESG) matters. He also represents clients before the SEC staff with respect to examinations, exemptive orders and other matters, and regularly advises investment advisers on various aspects of the Investment Advisers Act of 1940.

Regulatory Experience

Prior to joining Faegre Drinker, Walé participated in the development of policy and rulemaking relating to investment advisers and investment companies as a senior counsel in the SEC’s Division of Investment Management Rulemaking Office. Walé served as member of the rulemaking team that helped develop the IABD rulemaking package, rules related to investment companies and investment advisers to address matters relating to ESG factors, and amendments to the Funds Name Rule. He also served as principal staff counsel for the SEC’s Asset Management Advisory Committee, where he provided technical, governance and compliance guidance to members of the committee.

Walé’s regulatory experience prior to the SEC include practicing at FINRA in the Office of Fraud Detection and Market Intelligence, where he conducted investigations of potential violations of securities law and FINRA rules by examining public statements, stock promotional materials and trading data.

Personal Interests

Walé practices the Afro-Brazilian martial art Capoeira – a style that combines elements of dance, acrobatics and music. He is an avid traveler and supports Chelsea Football Club in the Barclays Premier League.

Credentials

Bar Admissions

Admitted only in New York; supervision by principals of the firm admitted to the D.C. Bar
New York

Languages

Yoruba

Education

Georgetown University Law Center
Certificate in Securities & Financial Law (2019)

Hofstra University School of Law
J.D. (2013)

CUNY Lehman College
B.A. (2002)

Insights & Events

Leadership & Community

Pro Bono

  • Co-chair and Chair of the SEC’s African American Council (2018-21)

Honors

  • United States Securities and Exchange Commission — The Chairman’s Award for Serving the Interests of Main Street Investors – Investor Experience Team, 2020
  • United States Securities and Exchange Commission — The Chairman’s Award for Excellence – IABD Rulemaking Team, 2019
  • United States Securities and Exchange Commission — SEC’s Community Service Award – Educational Outreach Team, 2017

Awards Methodology

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