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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Matt is a managing associate in the firm’s Corporate Transactions &amp; Securities group. His practice focuses on representing clients regarding broker-dealer, trading and markets, registered funds, securities exchange, financial technology service providers and investment advisor-related activity. As a former general counsel, he also advises companies with in-house transition, development and leadership needs.

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Matt has extensive experience with securities market regulation, beginning his career as a Chicago Board Options Exchange investigator and later as outside counsel to proprietary trading firms and general counsel and chief compliance officer for a jointly registered broker-dealer/investment adviser. Matt’s options trading and asset management background provides a uniquely valuable perspective to understanding and serving his clients’ needs. He advises on a variety of contractual matters with third-party vendors such as O/EMS, clearing firms, communications and software agreements. His prior litigation experience ranges from employment and workers' compensation disputes to insurance defense and various other civil and criminal matters. Matt has arbitration experience and has a special appreciation for the complexities of adversarial proceedings. Matt has held FINRA securities licenses 7, 24 and 57.

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Loyola University Chicago, J.D., 2012

Indiana University, B.A., 2005

Broker-Dealers

Cannabis Industry

Corporate Transactions & Securities

Investment Management

Managing Associate

<p>Examples of Matt’s experience include:</p>
<ul>
<li>Responded to and completed numerous regulatory broker/dealer exams</li>
<li>Represented clients in regulatory requests for information</li>
<li>Class action defense of market-making firm</li>
<li>Written supervisory procedure manual creation and updates</li>
<li>Designed anti-money laundering policy and procedure</li>
<li>Revamped employee handbooks</li>
<li>Reviewed and revised vendor contracts with securities regulatory implications (SEC, FINRA and various SROs)</li>
<li>Implemented FINRA Consolidated Audit Trail (CAT) policy and procedures</li>
<li>Applied for and maintained minority business enterprise licenses</li>
<li>Investigated broker/dealers for securities law compliance</li>
<li>Presented cases to the Cboe business conduct committee for alleged violations of self-regulatory organization rules and regulations</li>
</ul>


Matthew R. Tobin

<ul>
<li><a href="http://ziliak.com/advisers-cybersecurity-and-regulation/">&#8220;Advisers, Cybersecurity, and Regulation,&#8221; October 6, 2015</a></li>
<li><a href="https://www.law360.com/articles/697277/the-high-court-s-key-jurisdiction-question-in-manning">&#8220;The High Court&#8217;s Key Jurisdiction Question In Manning ,&#8221; <em>Law360, </em>September 1, 2015</a></li>
</ul>


Publications

<ul>
<li>Moderator, “Strategies for a Circular Economy and Environmental Stewardship: Cannabis Waste Management,” Benzinga Cannabis Capital Conference, September 2023</li>
</ul>


Presentations

<ul>
<li>Recipient of the Security Traders Association Chicago (STAC) President’s Award, 2019</li>
</ul>


Distinctions

<h3>Professional Associations</h3>
<ul>
<li>Security Traders Association Chicago</li>
<li>Chicago Bar Association</li>
</ul>
<h3>Community Activities</h3>
<ul>
<li>AYSO soccer coach</li>
</ul>


Matthew R.Tobin

Matthew R.Tobin

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