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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2553
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Marc E. Elovitz is a partner in the New York office, where, as a member of the Investment Management and Litigation Groups, he heads up the firm’s regulatory compliance work in the private investment funds area. He advises hedge funds, private equity funds and funds of funds on compliance with the Investment Advisers Act of 1940 and other federal, state and self-regulatory organization requirements, including establishing compliance programs, registering with the SEC and handling SEC examinations. Marc provides guidance to clients on securities trading matters and represents them in regulatory investigations and enforcement actions, arbitrations and civil litigation. He also regularly leads training sessions for portfolio managers and analysts on complying with insider trading and market manipulation laws.
A member of the American Bar Association's Business and Litigation Sections and the Hedge Funds Subcommittee of the Committee on Federal Securities Regulation, Marc is a frequent speaker at hedge fund industry conferences and seminars. In addition, he co-authors the “Market Manipulation” chapter in the leading treatise, Federal Securities Exchange Act of 1934 (Matthew Bender) and wrote the chapter on “The Legal Basis of Investment Management in the U.S.” for the upcoming Oxford University Press book, The Law of Investment Management. After graduating with honors from Wesleyan University in 1986, Marc attended New York University School of Law, from which he was awarded his J.D. degree in 1990.
Selected Publications
“Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management For The Securities Industry, September-October, 2009
“Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” SRZ Client Memorandum, July 30, 2009
“Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” SRZ Client Memorandum, June 4, 2009
“Special Regulatory Issue,” SRZ Investment Management Developments, Fall 2007
“Regulation of Fraudulent Market Activities,” Federal Securities Exchange Act of 1934 (Matthew Bender), 2006 (co-author) Supplements 2008 and 2009
“Money Laundering and Suspicious Activity Reporting: What’s a Broker-Dealer to Do?,” 1046 PLI/CORP. 293, 1998 (co-author)
“Proposed Rules Regarding the Responsibilities of Securities Clearing Firms for their Introducing Brokers,” SRZ Securities Law Developments, Fall 1997 (co-author)
More
Selected Speaking Engagements
“Spotlight on Compliance: Key Issues for 2010,” SRZ 19th Annual Private Investment Funds Seminar, January 2010
“New Legislative and Regulatory Initiatives,” SRZ 19th Annual Private Investment Funds Seminar, January 2010
“Connecting the Multiple Dimensions of Financial Reporting: Regulatory, Investor and Internal Perspectives,” FRA's Accounting, Auditing & Risk-Control Standards for Hedge Funds, December 2009
“Insider Trading Law and the new SEC Enforcement Environment,” Deutsche Bank's Global Prime Finance Client Dinner, November 2009
“Preparing for SEC Examinations of Private Fund Advisers,” SRZ Investment Management Hot Topics, November 2009
“U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers”, SRZ Audio Conference Series, October 2009
“Understanding the Legal Issues,” AIFEA Meeting, September 2009
“Preparing for SEC Registration and New Reporting Requirements,” SRZ Investment Management Hot Topics, September 2009
“Recent Legislative Developments for Hedge Funds,” NYSBA Structured Products & Derivatives Law Committee Luncheon, September 2009
“New Alternatives to the Custody/Prime Broker Model,” MFA Adapting to Changes in Custody and Prime Brokerage for Hedge Fund Managers, September 2009
“Hedge Funds: Registration and The New Regulatory Landscape,” Reuters Hedge Fund Webinar, September 2009
“Update on Regulation of Funds and Fund Managers,” SRZ Audio Conference Series, June 2009
“Current U.S. Congressional Proposals for Hedge Fund Regulation,” SRZ Audio Conference Series, February 2009
“Spotlight on Compliance: Key Issues for 2009” and “Current SEC Investigations and Enforcement Actions,” SRZ 18th Annual Private Investment Funds Seminar, New York, January 2009
“Compliance Programs,” SRZ Investment Management Hot Topics Seminar, October 2008
“Market Rumors,” SRZ Greenwich Private Investment Funds Seminar, September 2008
“Regulation and Compliance Roundtable: Top Examination & Enforcement Priorities,” FRA 6th Hedge Fund Accounting & Administration Forum, July 2008
“The Accountant’s Guide to Surviving an SEC or NFA Examination,” FRA 10th Effective Hedge Fund Tax Practices Conference, May 2008
“Hear Directly From the Regulators,” FRA 5th Hedge Fund Accounting and Administrative Conference, May 2008
“Spotlight on Compliance: Key Issues for 2008” and “Addressing Conflicts of Interest,” SRZ 17th Annual Private Investment Funds Seminar, New York, January 2008
“Current Examination Issues,” “Referrals to Enforcement” and “The Exit Interview and Deficiency Letter Process,” West LegalWorks SEC Inspections Workshop for Investment Advisers and Investment Companies, July 2007
“Litigation Trends Across the Hedge Fund Industry and Investor Rights,” IIR Hedge Fund Regulation & Compliance Seminar, April 2007
“Regulatory Sweeps: Past, Present & Future,” SRZ Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006
More
Memberships
American Bar Association
Litigation Section
New York City Bar Association
Bar Admissions
Court Admissions
- U.S. Court of Appeals, Eleventh Circuit 1996
- U.S. Court of Appeals, Ninth Circuit 1996
- U.S. Court of Appeals, Second Circuit 1996
- U.S. Court of Appeals, Sixth Circuit 1995
- U.S. Court of Appeals, Fourth Circuit 1995
- U.S. Supreme Court 1995
- U.S. District Court, Southern District of New York 1991
- U.S. District Court, Eastern District of New York 1991
Education
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New York University School of Law, J.D., 1990
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Wesleyan University, B.A., with honors, 1986
Prior Experience
Litigation Associate, Debevoise & Plimpton
Adjunct Professor, Rutgers University School of Law
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