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Paul N. Roth

919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2450
E:

One Eagle Place
London SW1Y 6AF
United Kingdom
E:

Paul N. Roth is a founding partner of the firm and chair of the Investment Management Group. Throughout his career, Paul has acted as counsel to leading public and private companies in financial services and to their boards of directors. His extensive private investment funds practice, an area in which he has more than 45 years of experience, includes the representation of hedge funds, private equity funds, offshore funds, investment advisers and broker-dealers in connection with fund formations and compliance, securities regulation, mergers and acquisitions (domestic and cross-border) and other financial transactions. Considered the “dean of the hedge fund bar,” Paul serves as a special adviser to the Board of Directors of the Managed Funds Association (MFA) and as an adviser to the Alternative Investment Management Association (AIMA) and is a former member of the Legal Advisory Board to the National Association of Securities Dealers (NASD). He chairs the Subcommittee on Hedge Funds of the American Bar Association’s Committee on Federal Securities Regulation and is a former chair of the New York City Bar Association’s Committee on Securities Regulation.

Paul has been recognized as a leading funds lawyer by The Best Lawyers in America, which also named him New York City Private Funds/Hedge Funds Law Lawyer of the Year. He also continues to be recognized by Chambers Global, Chambers USA, The Legal 500 United States, IFLR Best of the Best USA (Investment Funds), IFLR Guide to the World’s Leading Investment Funds Lawyers, IFLR Guide to the World’s Leading Private Equity Lawyers, IFLR Guide to the World’s Leading Capital Markets Lawyers, The International Who’s Who of Private Funds Lawyers, Lawdragon 500 Leading Lawyers in America, PLC Cross-border Investment Funds Handbook, Who’s Who in American Law, and Who’s Who in America. Paul was recently honored at The Hedge Fund Journal Awards for his outstanding achievement in the hedge fund industry. He also received a Lifetime Achievement Award from Hedge Funds Care in recognition of his prominence in the hedge funds industry and his extraordinary commitment to philanthropy. He was named to HFMWeek’s 2010 list of the 50 most influential people in hedge funds. Paul is a lecturer at the University of Pennsylvania's Wharton School, where he currently teaches “Responsibility in Professional Services.” He is also an Adjunct Professor of Finance at NYU Stern School of Business, where he taught “Managing Financial Businesses” during Fall 2011 and Fall 2012, and an Adjunct Professor of Law at NYU School of Law, where he is teaching “Law and Business of Financial Institutions.” Paul graduated magna cum laude from Harvard College, cum laude from Harvard Law School and was awarded a Fulbright Fellowship to study law in The Netherlands. He served on the Advisory Board of Harvard Law School’s Center on Lawyers and the Professional Services Industry and formerly served as president and a trustee of the Harvard Law School Alumni Association of New York City. In addition, he is a member of the Boards of Directors of the NAACP Legal Defense and Educational Fund and the Advisory Board of the RAND Center for Corporate Ethics and Governance, and he is a fellow of the New York Bar Foundation and the Phi Beta Kappa Society.

Selected Publications

Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press) 2013 (co-author)

“The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers,” SRZ Client Alert, July 24, 2013 (co-author)

“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

“The M&A Environment, Shareholder Rights, and the Evolving Role of Activist Investors,” The Harvard Law School Association of NYC Law & Economics Thought Leaders Speaker Series, May 2014

Moderator, “Opening Armchair Chat with Drew Bowden, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, May 2014

Co-Chair, International Bar Association 15th Annual International Conference on Private Investment Funds, March 2014

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Memberships

Professional 
RAND Center for Corporate Ethics and Governance
    Member, Advisory Board, 2010-Present
AIMA
    Adviser to AIMA on US Regulatory Issues, 2008-Present
Managed Funds Association
    Special Adviser to the MFA Board of Directors, 2009-Present
American Bar Association
    Chair, Subcommittee on Hedge Funds, 2005-Present 
    Vice Chair, Subcommittee on Hedge Funds, 2002-2005 
The Economic Club of New York, 2009-Present
The Harvard Law School Alumni Association of New York City
     President, 1999-2001
     Vice President, 1992
     Trustee, 1987-1990
Harvard Law School Center on Lawyers and the Professional Services Industry 
    Advisory Board, 2006-2010
Harvard University, Faculty of Arts and Sciences, 
    Task Force on the Undergraduate Experience, 2006-2008
National Association of Securities Dealers, Inc. 
    Legal Advisory Board, 1999-2003
New York City Bar Association
    Chair, Committee on Securities Regulation, 1989-1992
New York State Bar Association

Other
Citizens Committee for New York City
    Member, Board of Directors, 1999-2011
NAACP Legal Defense Fund
    Board of Directors
Phi Beta Kappa Associates

Other Distinctions

The Best Lawyers in America
Chambers Global
Chambers USA
The Hedge Fund Journal Award for Outstanding Achievement in the
    Hedge Fund Industry
Hedge Funds Care Lifetime Achievement Award
HFMWeek's 50 Most Influential People in Hedge Funds
IFLR Best of the Best USA (Investment Funds)
IFLR Guide to the World’s Leading Capital Markets Lawyers
IFLR Guide to the World’s Leading Investment Funds Lawyers
IFLR Guide to the World’s Leading Private Equity Lawyers
The International Who’s Who of Private Funds Lawyers
Lawdragon 500 Leading Lawyers in America
The Legal 500 US
Fellow, New York Bar Foundation
New York City Private Funds/Hedge Funds Law Lawyer of the Year, Best
    Lawyers’ 2013 Lawyers of the Year
PLC Cross-border Handbooks: Investment Funds
Who's Who in America
Who's Who in American Law


Lecturer, Wharton School at the University of Pennsylvania, Spring 2013,
    “Responsibility in Professional Services”
Adjunct Professor of Finance, NYU Stern School of Business, Fall 2011
    and Fall 2012, “Managing Financial Businesses”

Bar Admissions

  • New York
  • Registered Foreign Lawyer (England & Wales)

Education

  • Fulbright Fellowship for Study of Law in The Netherlands, Other, 1964-65
  • Harvard Law School, J.D., cum laude, 1964
  • Harvard College, A.B., magna cum laude, 1961
    • Phi Beta Kappa