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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2760
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Jason S. Kaplan is a partner in the New York office, where he concentrates in the areas of investment management and regulatory & compliance and advises on general corporate, securities and compliance issues for investment advisers and investment funds. Jason’s practice focuses on advising managers of hedge, private equity and hybrid funds regarding the structure of their businesses and on day-to-day operational, securities, corporate and compliance issues; structuring and negotiating seed and strategic investments and relationships; and advising investment managers with respect to regulatory and compliance issues.
Among recent writing and speaking engagements, Jason co-authored “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers” published in The Hedge Fund Journal and spoke on “Dodd-Frank Regulatory Reporting: A Practical Discussion on the Impact of Implementation of Form PF” at a recent KPMG Alternative Investment Webcast. Jason earned his J.D. from Fordham University School of Law, where he was a member of the Fordham Law Review, and his B.S. from the University of Michigan.
Selected Representations
Advise managers of hedge, private equity and hybrid funds regarding structure, formation and ongoing operational issues.
Structure and negotiate seed and strategic investments.
Advise investment managers regarding the structure of their investment management businesses, including carry-sharing arrangements and other incentive compensation systems.
Represent investment managers and investors in the formation of special purpose acquisition vehicles and co-investment vehicles.
Advise investment managers with respect to regulatory and compliance issues.
Selected Publications
“Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010 (co-author)
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Selected Speaking Engagements
“Form PF Workshop,” SRZ 21st Annual Private Investment Funds Seminar, January 2012
“Dodd-Frank Regulatory Reporting: A Practical Discussion on the Impact of Implementation of Form PF,” KPMG Alternative Investment Webcast, November 2011
“Proposed Form PF,” Goldman Sachs Prime Brokerage Regulatory Reporting Overview, October 2011
“Practical Implementation of FINRA Rule 5131 — Insights from Morgan Stanley Fund Services and Schulte Roth and Zabel,” Morgan Stanley Webinar, September 2011
“Demystifying Dodd-Frank's Impact on the Hedge Fund Industry,” FRA Hedge Fund Accounting, Auditing and Administration Forum, July 2011
Goldman Sachs SEC/CFTC Proposed Form PF and CPO/CTA Exemptions Teleconference, February 2011
“Structuring and Restructuring Your Management Company,” SRZ 20th Annual Private Investment Funds Seminar, January 2011
KB Associates Blue Skies or Green Hills: Cayman or Ireland?, December 2010
“The Upcoming Spring Registration with the SEC for Hedge Funds,” HFCFO General Membership Meeting — Southern Connecticut Chapter, October 2010
"Performance Advertising: Protecting Your Firm in a Competitive Marketing Environment," SRZ Investment Management Alumni Roundtable Series, July 2010
"Current and Expected Changes in the Investment Management Business," SRZ Greenwich Breakfast Briefing, June 2010
"Distressed Investing: Deal Structuring," SRZ 19th Annual Private Investment Funds Seminar, January 2010
"LLCs as Investment Vehicles/Joint Venture Vehicles," NYSBA Dealing with LLC Formation and Operating Issues, December 2009
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Bar Admissions
Education
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Fordham University School of Law, J.D., 2001
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University of Michigan, B.S., 1998
Prior Experience
Cravath, Swaine & Moore