Phil Lieberman

Vice President, Associate General Counsel @Fidelity Investments

Sarasota, FL, US

Provide legal support to Fidelity Brokerage Services LLC, Fidelity’s introducing broker-dealer with over 12 million end customers, and National Financial Services LLC, Fidelity’s clearing broker-dealer with approximately 200 unaffiliated introducing broker-dealer clients. • Provide legal insight on regulatory, privacy, advertising, financial, and technology matters.• Serve as key attorney for Fidelity’s implementation of new projects, including compliance with Regulation Best Interest, 24/7 funds settlement with FinCen providers, development and use of a virtual assistant, and settlement with third-party cryptocurrency platforms.• Work closely with product and treasury groups group to ensure successful development of new products. Responsibilities include drafting and negotiating vendor agreements, product-related clearing amendments, managed account documentation, as well as reviewing disclosure documents and enhancing customer account applications.• Review technology development and product enhancements, and related marketing and customer communications, to ensure compliance with FINRA guidelines, Fidelity standards, and other applicable laws and regulations. • Negotiate bank account opening and other ancillary agreements with third-party banking providers to support Fidelity’s treasury group.• Draft comment letters to state and federal securities matters regarding items of regulatory interest to Fidelity, including branch office examinations and state fiduciary laws. • Participate in regulatory response committees, preparing information to clients and senior business leaders regarding proposed and approved rule changes from the SEC, FINRA, the Department of Labor, and other relevant agencies. • Support internal groups including Compliance, Risk, and Product regarding customer issues, regulatory matters and ad- hoc inquiries.• Negotiate clearing, technology, and related ancillary agreements with clients, prospective clients and their affiliated banks.

Boston College Law School

Juris Doctor (J.D.)

Georgetown University

Bachelor’s Degree