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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2269
E:
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David J. Efron is a partner in the New York office, where he practices in the areas of domestic and offshore hedge funds, including fund formations and restructurings. Additionally, he advises hedge fund managers on structure, compensation and various other matters relating to their management companies, and structures seed capital and joint venture arrangements. David also represents hedge fund managers in connection with SEC regulatory issues and compliance-related matters.
David has been recognized by The Legal 500 United States as “an extraordinarily capable attorney. He has a mastery of the pertinent matters, but he also brings a pragmatic approach.” A published author on subjects relating to investment management, he is a sought-after speaker for hedge fund industry conferences and seminars and a frequent guest lecturer at New York-area law schools. David received his B.A. from Vassar College, his J.D. from Syracuse University College of Law and an LL.M. degree in securities regulation, with distinction, from Georgetown University Law Center.
Selected Publications
“Solving the Legal Issues,” Absolute Return: Special Report – Road Map to Starting a Hedge Fund, 2003 (co-author)
“Domestic Private Investment Funds: Structure and Regulatory Overview,” NSCP Currents, September/October 1999 (co-author)
“The 1940 Act’s ‘Bad Boy’ Disqualifier: A Reconsideration,” The Investment Lawyer, April 1996
“Muddied Waters: Awards of Punitive Damages in Disputes Arbitrated Pursuant to Brokerage Firm Customer Agreements,” 7 DePaul Business Law Journal 333, 1995
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Selected Speaking Engagements
“Mobility of Investment Professionals and Executives,” SRZ 21st Annual Private Investment Funds Seminar, January 2012
Bank of America/Merrill Lynch Hedge Fund Client Conference, December 2011
“New Whistleblower Rules: The Impact on Fund Managers,” SRZ Investment Management Hot Topics, New York, October 2011
“Ethical Issues Facing In-House Counsel,” SRZ Investment Management Alumni Roundtable, New York, July 2011
Guest Lecturer, New York Law School, New York, June 2011
“Crisis Management,” UBS Premier Hedge Fund Client Conference, Naples, FL, May 2011
Guest Lecturer, Columbia Business School, New York, April 2011
Maples Investment Funds Forum, Cayman Islands, February 2011
“Relationships with Investors,” SRZ 20th Annual Private Investment Funds Seminar, New York, January 2011
"Key Issues Facing CFOs," SEI's Alternative Investment Fund CFO Forum, New York, November 2010
Guest Lecturer, New York Law School, New York, August 2010
“The Changing Landscape of the Investor-Manager Relationships Negotiating with Sizeable Investors,” SRZ Investment Management Hot Topics, New York, May 2010
Guest Lecturer, Columbia Business School, New York, February 2010
“New Investor Terms and Demands,” SRZ 19th Annual Private Investment Funds Seminar, New York, January 2010
Guest Lecturer, New York Law School, New York, September 2009
UBS Capital Introduction Investor Forum, New York, March 2009
Guest Lecturer, Columbia Business School, New York, February 2009
“Liquidity Terms: Structuring for the Future,” SRZ 18th Annual Private Investment Funds Seminar, New York, January 2009
“Hedge Fund Roundtable,” UBS Prime Broker Breakfast, New York, December 2008
“Seeding Arrangements: Key Considerations and Current Trends,” SRZ Greenwich Private Investment Funds Seminar, Old Greenwich, CT, May 2007
“Seeding Arrangements: Current Trends and Compliance,” SRZ Investment Management Hot Topics Seminar, New York, April 2007
“The Life and Times of a Hedge Fund,” Campbell’s Cayman Fund Focus Conference, Cayman Islands, February 2007
“Regulatory Sweeps: Past, Present & Future,” SRZ Hedge Fund Compliance Investment Management Hot Topics Seminar Series, March 2006
“Distribution Channels Available to Hedge Fund Managers,” SRZ 15th Annual Private Investment Funds Seminar, January 2006
“Update on Hedge Funds – The New Hedge Fund Adviser Registration Rule,” Glasser Legal Works Ninth Annual Investment Management Compliance Summit, September 2005
“Hedge Funds Updated: Registration and Regulation,” NRS 19th Annual Fall Compliance Conference, October 2004
“Effectively Complying with the NASD ‘New Issues’ Rule,” Financial Research Associates Hedge Fund Regulation and Compliance Forum, May 2004
“Side Letters – Fiduciary Issues, Negotiating Points and Other Considerations,” Financial Research Associates Hedge Fund Regulation and Compliance Forum, October 2003
More
Bar Admissions
Education
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Georgetown University Law Center, LL.M., with distinction, 1996
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Syracuse University College of Law, J.D., cum laude, 1993
- Executive Editor, Syracuse Law Review
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Vassar College, B.A., 1990
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