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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2131
E:
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George M. Silfen is a partner in the New York office, where he concentrates his practice in the representation of investment companies and their boards of directors, investment advisers, and broker-dealers in connection with the organization and operation of investment products and services, including mutual funds, closed-end investment companies, business development companies, registered hedge funds, wrap accounts, and 401(k) and IRA products. George advises clients on regulatory and compliance matters associated with investment company, investment advisory, brokerage, securities custody and transfer agent services.
George writes and speaks frequently on fund-related topics. He is a regular contributor to Ignites and Fund Directions and his articles have appeared in The Investment Lawyer. At industry conferences, he has presented on permanent capital investment vehicles, SEC compliance issues concerning funds of funds, investing in registered funds, banks and financial institutions, and new products for new markets, among other subjects. After graduating summa cum laude and Phi Beta Kappa from Brooklyn College, he obtained an M.B.A. from Baruch College, and then went on to earn his J.D. degree, cum laude, from Brooklyn Law School, where he was articles editor of the Brooklyn Law Review.
Selected Publications
“What Really Is The Board's Role In Valuation?,” Fund Directions, July 1, 2009
SRZ Registered Fund Developments, Spring 2009 (co-author)
“Rebates Re-Examined,” The Investment Lawyer, April 2006
“Rockies Fund v. SEC: Implications for Fund Directors,” SRZ Mutual Funds Regulatory Update, Spring 2006 (co-author)
“No Right to Privacy for Fund Portfolio Managers,” The Investment Lawyer, July 2005
“A New Era of Governance for Mutual Funds? An Analysis of the Newly Adopted Fund Governance Requirements,” The Investment Lawyer, November 2004
“New and Improved Reports for Fund Shareholders,” The Investment Lawyer, June 2004
“SEC Amends Mutual Fund Advertising Regulations,” SRZ Investment Management Developments, Winter 2004
“The Impact of Revised NYSE Corporate Governance Standards on Registered Funds,” SRZ Investment Management Developments, Winter 2004
“Proposed Rules that Would Require Quarterly Disclosure of Registered Fund Portfolio Holdings,” SRZ Investment Management Developments, Winter 2003
“SEC Adopts Final Proxy Voting Rules for Mutual Funds and Registered Investment Advisers,” SRZ Investment Management Developments, Winter 2003
“Looking Beyond the ”Substance of Which – An Analysis of Recent Changes in Fund Advertising Regulation,“ The Investment Lawyer, December 2003
”The Proposed Proxy Voting Rules - Disclosure of the Immaterial?“ The Investment Lawyer, December 2002”
CFTC Expands Mutual Funds' Ability to Use Futures,“ SRZ Investment Management Developments, Fall 2002
”What’s in a Name?“ The Investment Lawyer, April 2001
”A Practical Guide to the Investment Company Act,“ Gordon Altman Butowsky et al., G. Silfen, Contributor, Merrill Corp., 1999
More
Selected Speaking Engagements
“Registered Funds and UCITS: Reaching New Capital and Markets,” SRZ Investment Management Hot Topics, New York, October 2009
“Permanent Capital Investment Vehicles,” SRZ Cutting Edge Alternative Asset Management Deals Seminar, July 2007
“SEC Compliance Issues Concerning Funds of Funds,” 3rd Annual Fund of Funds Business Operations Forum, May 2007
“Investing in Registered Funds, Banks and Financial Institutions,” SRZ 16th Annual Private Investment Funds Seminar, January 2007
“Registered Alternative Funds: New Products for New Markets,” SRZ Seminar, March 2006
Investment Company Institute (ICI) Globalization of Mutual Funds Conference, May 2005
Financial Research Associates (FRA), Developing a Profitable Registered Hedge Fund Business, July 2004
SRZ Registered Private Equity Funds: Tapping New Sources of Capital Seminar, May 2004
Institutional Investor Mutual Fund Regulation and Compliance Forum, May 2004
ICI 2004 Mutual Funds and Investment Management Conference, March 2004
FRA Mutual Fund Compliance and Regulatory Summit, January 2004
“Distribution of Hedge Funds to the Mass Affluent,” FRA conference, December 2003
“The Impact of Sarbanes-Oxley on Mutual Funds,” Deloitte & Touche/SRZ, Deccember 2002
ICI Globalization of Mutual Funds Conference, April 2002
More
Memberships
New York City Bar Association
Committee on Investment Management Regulation
Bar Admissions
Education
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Brooklyn Law School, J.D., cum laude, 1994
- Articles Editor, Brooklyn Law Review
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Baruch College, CUNY, M.B.A., 1994
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Brooklyn College, CUNY, B.A., summa cum laude, 1990
Prior Experience
Morgan Stanley Investment Management
Mayer Brown Rowe & Maw
Gordon Altman Butowsky Weitzen Shalov & Wein
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