Marc E. Elovitz is chair of the firm’s Investment Management Regulatory & Compliance Group and a member of the firm’s Executive Committee. He advises private fund managers on running their businesses consistent with the Investment Advisers Act of 1940 and all other applicable laws, regulations and legal requirements. Marc provides guidance to clients on SEC registration, examination and enforcement matters. He also regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws, and he has developed and led compliance training sessions for marketing and investor relations professionals. Marc works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He develops new compliance testing programs in areas such as trade allocations and conflicts of interest, and he leads macro-level compliance infrastructure reviews with fund managers, identifying the material risks specific to each particular firm and evaluating the compliance programs in place to address those risks. Marc has a cutting edge practice covering the latest trends of interest to private funds, including blockchain technology and digital assets. He advises on the legal and regulatory considerations involving virtual and digital currency business initiatives and the blockchain technology behind them.

Marc is frequently invited to discuss current industry-related topics of interest at leading professional and trade association events. He has presented on whistleblowing, regulatory and compliance issues for private funds and SEC inspections and examinations of hedge funds and private equity funds, among many other topics. Chambers USA, Chambers Global, The Legal 500 U.S., Who’s Who Legal: The International Who’s Who of Private Funds Lawyers and New York Super Lawyers have recognized Marc as a leading lawyer. He has been a member of the Steering Committee of the Managed Funds Association’s Outside Counsel Forum, the American Bar Association’s Hedge Funds Subcommittee and the Private Investment Funds Committee of the New York City Bar Association. A recognized thought leader, Marc is regularly interviewed by leading media outlets, including Bloomberg, HFMWeek, HFM Compliance, Compliance Reporter, IA Watch, Private Funds Management and Law360, to name a few. Marc is a co-author of Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), the “Protecting Firms Through Policies and Procedures, Training, and Testing” chapter in the Insider Trading Law and Compliance Answer Book (Practising Law Institute) and the “Market Manipulation” chapter in the leading treatise Federal Securities Exchange Act of 1934 (Matthew Bender). He also wrote the chapter on “The Legal Basis of Investment Management in the U.S.” for The Law of Investment Management (Oxford University Press). Marc received his J.D. from New York University School of Law and his B.A., with honors, from Wesleyan University.

Publications

“Protecting Firms Through Policies and Procedures, Training, and Testing,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2019 (co-author)

Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2013-2018 (co-author)

Private Equity Funds: Formation and Operation (Practising Law Institute) (contributor)

“SEC Charges Hedge Fund Manager with Short-and-Distort Scheme, SRZ Alert, Sept. 14, 2018 (co-author); republished in The Hedge Fund Journal, November 2018  

OCIE Best Execution Risk Alert: Guidance and Lessons for Private Fund Managers,” SRZ Alert, July 24, 2018 (co-author); republished in The Hedge Fund Journal, November 2018 

“SEC Proposes Investment Adviser Standards of Conduct and Enhanced Regulation,” SRZ Alert, April 19, 2018 (co-author)

“OCIE Issues Risk Alert on Fees and Expenses,” SRZ Alert, April 17, 2018 (co-author)

“Regulation of Market Manipulation,” Federal Securities Exchange Act of 1934, March 2018 (co-author)

Cross-Border Implementation of MiFID II Research Provisions — SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance,” SRZ Alert, Oct. 31, 2017 (co-author); republished in The Hedge Fund Journal, October 2017

LabCFTC Releases Primer on Virtual Currencies,” SRZ Alert, October 18, 2017 (co-author)

Sovereign Immunity Implications for Investment Advisers,” Compliance Corner, October 2017 (co-author)

“Second Circuit, in Split Decision, Overrules Limitation on Insider Trading Liability Established in U.S. v. Newman,” SRZ Alert, Aug. 28, 2017 (co-author); republished in The Hedge Fund Journal, September 2017

“Best Practices for Hedge Fund Managers Preparing for an SEC Examination,” Hedge Fund Legal & Compliance Digest, August 2017 (co-author)

“Managing Conflicts,” Private Funds Management, May 2017 (interview)

“New Form ADV: The Impact on Private Fund Advisers,” SRZ Alert, Sept. 19, 2016 (co-author); republished in The Hedge Fund Journal, September 2016

“Complying on Pay-To-Play: Tips for CCOs,” Compliance Reporter, May 19, 2016; republished in Fund Operations, July 5, 2016

“Securities, Futures Regulators Increase Scrutiny, Expectations on Cybersecurity,” Bloomberg Brief | Financial Regulation, Oct. 23, 2015 (co-author)

“Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” SRZ Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, November 2015

“CFTC’s Position on Bitcoin — and What It Means,” Law360, Sept. 25, 2015 (co-author)

“SRZ Submits Commentary on SEC ADV & IAA Proposals — Concerns Over Consistency and Confidentiality,” The Hedge Fund Journal, September 2015 (interview)

“Cybersecurity Update: Takeaways from OCIE’s Examination Initiative and the NFA’s Rulemaking Proposal,” SRZ Alert, Sept. 21, 2015 (co-author)

“CFTC Determines That Bitcoin and Other Virtual Currencies Are Commodities,” SRZ Alert, Sept. 18, 2015 (co-author)

“The New AML Rules: Implications for Private Fund Managers,” SRZ Alert, Sept. 8, 2015 (co-author); republished in The Hedge Fund Journal, Sept. 24, 2015

“SEC Examinations of Private Fund Advisers,” The Review of Securities & Commodities Regulation, June 17, 2015

“The Impact of United States v. Newman on the Use by Investment Advisers of Information Resources,” The Investment Lawyer, June 2015 (co-author)

“Q&A: Legal Defences,” HFMTechnology, May 2015 (interview)

“Proactively Addressing Hedge Fund Cybersecurity Risks,” The Hedge Fund Journal, May 2015 (interview)

“New SEC Cybersecurity Guidance: What It Means for Fund Managers,” SRZ Alert, May 4, 2015 (co-author); republished in The Hedge Fund Journal, June/July 2015

“SEC Whistleblower Case Challenges Restrictive Language in Confidentiality Agreements,” SRZ Alert, April 10, 2015 (co-author)

“SEC Cybersecurity Update: OCIE Risk Alert Provides Insights for Private Fund Managers on SEC Cybersecurity Examinations,” SRZ Alert, Feb. 4, 2015 (co-author); republished in The Hedge Fund Journal, February/March 2015

Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit,” SRZ Alert, Jan. 27, 2015 (co-author); republished in The Hedge Fund Journal, February/March 2015

“Second Circuit Clarifies Insider Trading Liability of Tippees,” SRZ Alert, Dec. 15, 2014 (co-author); republished in The Hedge Fund Journal, January 2015

“JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” SRZ Alert, Sept. 11, 2014 (co-author); republished in The Hedge Fund Journal, September 2014

SRZ Insider Trading Developments Newsletter, Summer 2014 (contributor)

“‘Knowledgeable Employees’ – Recent SEC Guidance Also Details Broker-Dealer Registrations,” The Hedge Fund Journal, March 31, 2014 (co-author)

“Recent SEC Guidance on ‘Knowledgeable Employees’ and Broker-Dealer Registration,” SRZ Alert, Feb. 25, 2014 (co-author)

“SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” SRZ Alert, Jan. 22, 2014 (co-author)

“SEC Releases ‘Bad Actor’ Rule Guidance,” SRZ Alert, Dec. 11, 2013 (co-author)

“Reminder for Fund Managers on the November 20 Identity Theft Red Flags Rules Deadline,” SRZ Alert, Nov. 6, 2013 (co-author)

“SEC Confirmation on ‘Soft Dollars’ Safe Harbour,” The Hedge Fund Journal, Nov. 4, 2013 (co-author) 

“SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) ‘Soft Dollars’ Safe Harbor,” SRZ Alert, Oct. 29, 2013 (co-author)

“Reminder for Private Fund Managers: New Form D Is In Effect,” SRZ Alert, Oct. 3, 2013 (co-author)

“How CCOs Can Prepare a Custody Rule Review,” Compliance Reporter, Sept. 23, 2013 (co-author)

“SEC Custody Rule Update for Private Fund Managers,” SRZ Alert, Aug. 15, 2013 (co-author)

“The Long View: Is US Regulation a New Bubble or a ‘New Normal’?,” HFMWeek, Aug. 14, 2013

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

“SEC Enforcement Division Increases the Pace of Rule 105 Investigations,” SRZ Alert, June 28, 2013 (co-author)

“The Long View: On Hedge Fund Marketing,” HFMWeek, April 25, 2013

"The SEC's New 'Presence Exams,'" The Investment Lawyer, December 2012 (co-author)

“The Long View: Why Working Through Every Item on an Extensive Checklist May Obscure the Bigger Risks – Particularly Conflicts of Interest,” HFMWeek, Nov. 21, 2012 (co-author)

“SEC Announces ‘Presence Exams’ for Newly-Registered Investment Advisers,” SRZ Alert, Oct. 9, 2012 (co-author)

“The Long View: How Hedge Fund Advertising Has Been Impacted by the JOBS Act,” HFMWeek, Aug. 23, 2012 (co-author)

“The New Derivatives Definitions — What Fund Managers Need to Know,” SRZ Memorandum, Aug. 21, 2012 (co-author)

“EEOC Issues New Guidance Regarding Applicants and Employees with Criminal Records,” SRZ Alert, June 12, 2012 (co-author)

“The Long View: U.S. Regulation of Private Fund Managers, Beyond Dodd-Frank,” HFMWeek, May 8, 2012 (co-author)

“FSOC Issues Final Rule on Designating Nonbanks as ‘Systemically Important’ — What Private Fund Managers Need to Know,” SRZ Alert, April 12, 2012 (co-author)

“Registration of Investment Advisory Affiliates,” The Harvard Law School Forum on Corporate Governance and Financial Regulation, Feb. 24, 2012 (co-author)

“The Long View: An Overview of the Key Pieces of U.S. Regulation Set to Impact Private Fund Managers in 2012,” HFMWeek, Feb. 2, 2012 (co-author)

“CFTC Finalizes Significant Rule Changes Affecting Fund Managers and Investment Companies,” SRZ Alert, Feb. 10, 2012 (co-author)

“SEC Staff Issues Guidance on Registration of Investment Advisory Affiliates,” SRZ Alert, Jan. 23, 2012 (co-author)

“Final Rules for the Private Fund Investment Advisers Registration Act of 2010,” SRZ Memorandum, August 8, 2011 (co-author)

“Expert Networks: New Commentary by SEC Officials About Insider Trading,” SRZ Alert, March 25, 2011 (co-author)

“Government Ratchets Up Investigation Into Insider Trading Involving Expert Networks,” SRZ Alert, Dec. 17, 2010 (co-author)

“Insider Trading Update — SEC v. Cuban,” SRZ Alert, Sept. 22, 2010

“SEC Investigations After Dodd-Frank: A Primer for Hedge Fund Managers and Their In-House Counsel,” SRZ Alert, Sept. 7, 2010

“Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010 (co-author)

“Financial Crisis Inquiry Commission Sends Out Hedge Fund Industry Market Risk Survey,” SRZ Alert, June 25, 2010

“Financial Regulatory Reform: Key Issues for Private Fund Managers,” SRZ Alert, May 18, 2010

“New Regulatory Scrutiny of Communications Among Hedge Fund Managers,” SRZ Alert, March 11, 2010

“Update on Privacy Requirements Affecting Private Investment Fund Managers,” SRZ Memorandum, Feb. 26, 2010

“SEC Adopts New Short-Selling Restrictions,” SRZ Alert, Feb. 25, 2010

“Analysis of the SEC’s New Amendments to the Custody Rule,” SRZ Memorandum, Feb. 1, 2010

“Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management for the Securities Industry, September-October 2009

“SEC Proposes ‘Pay to Play’ Prohibitions,” SRZ Alert, Aug. 13, 2009

“Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” SRZ Memorandum, July 30, 2009

“Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” SRZ Memorandum, June 4, 2009

“FSA Discussion Paper on Short Selling,” SRZ Alert, Feb. 17, 2009

“FSA Confirms Relaxation of Ban on Short Selling; Retains Disclosure Obligation,” SRZ Alert, Jan. 14, 2009

“FSA Proposes to Relax Ban on Short Selling but Retain Disclosure Obligation,” SRZ Alert, Jan. 6, 2009

“SEC Form SH Filing Notice,” SRZ Alert, Dec. 24, 2008

“FSA Clarifies Short Sale Disclosure Requirements,” SRZ Alert, Oct. 31, 2008

“Update on SEC Form SH Filing Requirements,” SRZ Alert, Oct. 23, 2008

“SEC Extends Emergency Orders,” SRZ Alert, Oct. 3, 2008

“Registered Investment Advisers Required to Provide Notifications of Changes to Custody Arrangements,” SRZ Alert, Sept. 30, 2008

“SEC Issues Guidance on Form SH,” SRZ Alert, Sept. 26, 2008

“FSA Clarifies Short Sale Prohibition and Disclosure Requirements,” SRZ Alert, Sept. 25, 2008

“SEC Amends Emergency Order Banning Short Sales of Financial Firm Securities,” SRZ Alert, Sept. 23, 2008

“SEC Announces ‘Sweeping Expansion’ of Its Investigation of Short Selling by Hedge Funds and Other Market Participants; Will Include Subpoenas and Require Statements Under Oath About Activity/Positions in Financial Services Company Stocks and Credit Default Swaps. NYSE Regulation and FINRA Conduct Parallel Inquiry Through Onsite Visits to Broker-Dealers,” SRZ Alert, Sept. 22, 2008

“SEC Bans Short Selling and Imposes New Disclosures,” SRZ Alert, Sept. 19, 2008

"FSA Bans Short Selling in Financial Stocks and Requires Daily Short-Position Disclosures,” SRZ Alert, Sept. 19, 2008

“SEC Adopts New Short Sale Rules,” SRZ Alert, Sept. 18, 2008

“UK FSA Issues Guidance on New Short Selling Rule,” SRZ Alert, June 18, 2008

“UK FSA Rule on Short Selling in Rights Issues Effective 20 June 2008,” SRZ Alert, June 16, 2008

“Regulators Investigating Market Rumors,” SRZ Alert, March 28, 2008

“FSA Discussion Paper on Short Selling,” SRZ Alert, Feb. 17, 2008

“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)

Speaking Engagements

“Fireside Chat: Achieving Optimal Performance Management and Applying New Data to People Analytics,” MFA West 2019, March 2019

“Regulatory Compliance 2019” and “Regulatory Outlook,” SRZ 28th Annual Private Investment Funds Seminar, January 2019

“SEC Inspections and Examinations of Private Hedge and Equity Funds,” PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018, October 2018

“CCO Liability,” ACA Fall 2018 Compliance Conference, October 2018

“Insights about Significant Legal and Compliance Developments that Impact Investment Management Professionals,” Duff & Phelps Breakfast Roundtable, September 2018

“Regulatory Changes and Updates from the First Two Years in the New Administration,” Corporate Counsel 30th Annual General Counsel Conference, September 2018

Deutsche Bank Co-Investment Considerations, New York, September 2018

“FAQ — Cryptocurrency,” SRZ London Investment Management Hot Topics, July 2018

“Regulatory Examinations and Current Areas of Focus,” Goldman Sachs 21st Annual Hedge Fund Conference, May 2018

“Creating a Best-In-Class Compliance Training Program: Training the Trainer,” Goldman Sachs 4th Annual Legal and Regulatory Seminar, March 2018

“SEC Keynote Fireside Chat: Priorities and Outlook,” MFA Legal & Compliance 2018, New York, March 2018

“Regulatory Compliance 2018” and “Regulatory Outlook,” SRZ 27th Annual Private Investment Funds Seminar, January 2018

“Monitoring Communications: Electronic, Social Media and More,” ACA Compliance Group Fall 2017 Compliance Conference, October 2017

Managed Funds Association COO Forum, October 2017

“Developing Talent Across All Generations,” JP Morgan COO Symposium, September 2017

The New Form ADV — Strategy and Preparation,” SRZ Webinar, September 2017

Investment Management Regulatory & Compliance Update — Texts, Chats and Other Electronic Messaging,” SRZ Webinar, July 2017

SRZ Insider’s Guide to Government Investigations: Winning Strategies for Investment Funds, June 2017

“Operational Best Practices,” SRZ 5th Annual Private Equity Fund Conference, May 2017

“A Step-by-Step Guide to Form ADV Changes,” IA Watch IA Compliance: The Full 360° View — Compliance Solutions for a Rapidly Changing Regulatory World, April 2017

SRZ Insider's Guide to Government Investigations: Winning Strategies for Investment FundsApril 2017

Goldman Sachs 3rd Annual Legal and Regulatory Seminar, March 2017

“The Regulation of Alternative Funds,” Grant Thornton Hedge Fund & Private Equity Emerging Manager Forum New York, March 2017

“Regulatory Outlook,” SRZ 26th Annual Private Investment Funds Seminar, January 2017

“Regulatory Landscape — Regulations Impacting Investment Management,” JP Morgan The COO of Tomorrow Program, October 2016

UBS SEC Examination and Trend Updates, October 2016

ACA Compliance Group Horizon Day, October 2016 

“Pay-to-Play: Don’t Get Caught Out This Election Season,” Fund Intelligence Briefing, July 2016

SRZ Managing Attorney-Client Privilege: A Workshop for Private Fund GCs and CCOs, July 2016

Goldman Sachs Nineteenth Annual Hedge Fund Conference, May 2016

Moderator, “Fireside Chat: Compliance Priorities for the SEC,” MFA Compliance Conference, May 2016 

“RIA Regulations,” KPMG Real Estate Investment Advisor Luncheon, January 2016

“The New Regulatory Challenges” and “Recent Examinations: Substantive Areas of Regulatory Focus,” SRZ 25th Annual Private Investment Funds Seminar, January 2016

HFMWeek U.S. Breakfast Briefing: Conflicts of Interest and Marketing Failures: Keeping on the Right Side of the SEC, November 2015

“Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section Committee Fall Meeting, November 2015

“SEC Inspections and Examinations of Private Equity and Hedge Funds,” PLI Hedge & Private Fund Enforcement & Regulatory Developments Seminar, November 2015

“Legal and Regulatory Trends and Developments,” Goldman Sachs Thirteenth Annual Hedge Fund Seminar, November 2015

“Incentivizing Whistleblowing to the Government,” NYU Journal of Law & Business Fall Conference: Whistleblowing and Corporate Change, October 2015

“Regulatory and Compliance,” SRZ 3rd Annual Private Equity Fund Conference, June 2015

Goldman Sachs Eighteenth Annual Hedge Fund Conference, May 2015

“Emerging Issues in Hedge Fund Compliance and Professional Ethics,” Managed Funds Association Compliance Conference, May 2015

“Political Contributions and Paying to Play,” ACA Compliance Group Spring Compliance Conference, April 2015

“Compliance — Newest Changes and How to Deal with Highest Risk Area of a Hedge Fund,” Bank of America Merrill Lynch COO/CFO Hedge Fund Symposium, March 2015

“Private Funds: Their Exams and Enforcement Issues,” University of Texas School of Law 37th Annual Conference on Securities Regulation and Business Law, February 2015

“GC and CCO Risks and Safeguards: Ethics in Practice” and “Regulatory Outlook: Exams, Enforcement and AIFMD,” SRZ 24th Annual Private Investment Funds Seminar, January 2015

SRZ Employment & Employee Benefits Luncheon for Investment Managers, December 2014

“Staying Ahead of the Curve(ball): How to Respond as Authorities Shift Focus from Creating New Regulations to Enforcing Them,” Houlihan Lokey 2014 Alternative Asset Valuation Symposium, November 2014

“SEC Inspections and Examinations of Hedge and Private Equity Funds,” PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments Seminar, November 2014

“Effective Annual Compliance Reviews,” Goldman Sachs Twelfth Annual Hedge Fund Seminar, November 2014

ACA Compliance Group and ACA Insight Fall 2014 Compliance Conference, October 2014

“Private Equity Fund Compliance Update,” SRZ Webinar, July 2014

“Recent Enforcement and Other Regulatory Issues,” PLI Fifteenth Annual Private Equity Forum, July 2014

SRZ Cybersecurity: Obligations and Expectations for Investment Fund Managers Breakfast, May 2014

Goldman Sachs Seventeenth Annual Hedge Fund Conference, May 2014

American Bar Association Business Law Section Spring Meeting, April 2014

SRZ Liability Insurance Luncheon for Investment Fund Managers, March 2014

“Marketing Opportunities and Challenges,” SRZ London Investment Management Hot Topics, March 2014

Institutional Investor Corporate Funds Roundtable, March 2014

“Making Sense of the Global Regulatory Environment for Operational Risk Professionals,” Alpha Research Group 2014 Operations for Alternatives, March 2014

Citi Prime Finance How to Prepare for an SEC Examination, March 2014

Bank of America Merrill Lynch Emerging Manager COO/CFO Conference, February 2014

“The Regulatory Environment: Maze/Minefield,” Institutional Investor Alternative Investor Institute Senior Delegates Roundtable, February 2014

“Compliance Spotlight” and “Regulatory Examinations and Enforcement,” SRZ 23rd Annual Private Investment Funds Seminar, January 2014

“Preparing for Regulatory Inspections,” Goldman Sachs 13th Annual Hedge Fund Conference, November 2013

Kinetic Partners Global Regulatory Outlook 2014 Launch, November 2013

“Opening Armchair Chat with Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2013

“AIFM Directive Marketing Rules for US, EU and Non-EU AIFMs,” SRZ AIFM Directive Update: Requirements for Private Fund Managers Webinar Series, October 2013

“Annual Compliance Reviews of Registered Advisers in the New Era,” SRZ Investment Management Hot Topics, October 2013

“The SEC’s Custody Rule,” New York State Society of CPAs Seminar, September 2013

“‘Bad Actor’ Disclosure and Disqualification Provisions of Rule 506,” SRZ Webinar, September 2013

“Fund Sales: Must the Broker Be Registered?,” American Law Institute Webinar, August 2013

“Alternative Investment Management: Surviving an SEC Examination,” American Bar Association Business Law Section Annual Meeting, August 2013

“The JOBS Act: Public Offerings and Private Placements,” ACA Compliance Group Webinar, July 2013

“Marketing and Advertising Compliance,” FRA Hedge Fund Accounting and Compliance Forum, July 2013

Deutsche Bank SEC Presence Exams: What to Expect and How to Prepare, May 2013

Goldman Sachs Sixteenth Annual Hedge Fund Conference, May 2013

“Identity Theft Rules: Crafting Appropriate Policies for Private Fund Managers,” SRZ Webinar Workshop, May 2013

“What Private Funds Need to Know About the Swap Rules,” SRZ Webinar, April 2013

“AIFMD for EU Private Fund Managers: Remuneration Rules,” SRZ AIFM Directive: Requirements for Private Fund Managers Webinar Series, April 2013

“Allocation of Investment Opportunities Workshop,” SRZ Investment Management Hot Topics, April 2013

“Compliance and Regulatory Examinations,” SRZ London Investment Management Hot Topics, March 2013

“AIFMD for US Private Fund Managers,” SRZ AIFM Directive: Requirements for Private Fund Managers Webinar Series, March 2013

“Compliance Spotlight” and “Regulatory Examinations and Enforcement,” SRZ 22nd Annual Private Investment Funds Seminar, January 2013

“Private Equity Fund Managers: Developments in Marketing, Compliance and SEC Exams,” SRZ Investment Management Hot Topics, November 2012

“Securities Law Compliance – Insider Trading,” Columbia Business School Private Equity Program, October 2012

“Increasing Demands for Transparency: Form PF, OPERA, AIFMD,” Deutsche Bank’s Global Prime Finance Hedge Fund Conference, September 2012 

“ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” SRZ Webinar, August 2012

“Form PF: A Roundtable Discussion for $5B+ Hedge Fund Managers,” SRZ Conference, June 2012

Goldman Sachs Fifteenth Annual Hedge Fund Conference, May 2012

“The SEC Exam Process and Compliance Concerns,” Managed Funds Association SEC Compliance Priorities Seminar, April 2012

“Registration of Private Fund Managers: Who Needs to Register? How to Analyze Global Firms?,” New York City Bar Association Seminar: The Challenges of Regulatory Implementation Faced by Private Investment Funds and Their Managers, April 2012

“Regulatory & Compliance Insights,” SRZ London Investment Management Hot Topics, February 2012

“SEC Registration of Investment Advisers: New No-Action Letter Permitting Related Advisers to File Single Form ADV,” American Bar Association Webinar, February 2012

“Compliance Spotlight” and “Regulatory and Compliance,” SRZ 21st Annual Private Investment Funds Seminar, January 2012

“Identifying and Addressing Conflicts of Interest,” ACA Compliance Group Fall Compliance Conference, September 2011

“New Registration Rules Applicable to PE and VC Managers,” American Bar Association Annual Meeting, August 2011

“Implementing a Post-Registration Compliance Program,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011

“How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” SRZ Investment Management Hot Topics, May 2011

“SEC Registration, Examination & Audit Regulatory Reform Status Report,” Managed Funds Association Chief Financial Officer Forum, April 2011

“Primary Research — Expert Networks, Channel Checking and Compliance,” National Organization of Investment Professionals Spring Conference, April 2011   

“The New Framework for Adviser Regulation,” PLI Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers, March 2011

“The Impact of Recent U.S. Regulatory Initiatives,” International Bar Association 12th Annual Private Investment Funds Conference, March 2011

“SEC Regulatory Update,” ACA Compliance Group Spring Compliance Conference, March 2011

JP Morgan A Practical Roadmap to Registration and New Investor Demands: What You Need to Know to Steer Clear of Associated Pitfalls & Risks, January 2011

“Compliance Spotlight” and “Managing Compliance Strategically,” SRZ 20th Annual Private Investment Funds Seminar, January 2011

“Private Equity Investment Adviser Registration,” SRZ Investment Management Hot Topics, December 2010

Goldman Sachs Annual Hedge Fund Conference, November 2010

Alternative Investment Financial Executives Association Private Equity and Venture Capital Funds Boot Camp, November 2010

“Policies and Procedures Part I ­­— Preventing Violations: Begin with a Fundamental Assessment of Your Business,” Hedge Fund Business Operations Association and Financial Research Associates Fifth Annual Meeting of the Hedge Fund Business Operations Association, October 2010

“Life as a Registered Fund,” Alternative Investment Financial Executives Association General Membership Meeting, New York Chapter, October 2010

“Managing Compliance Strategically,” SRZ Investment Management Hot Topics, October 2010

“New Oversight and Supervision of Advisers,” Managed Funds Association New Regulatory Reforms: The Impact on Your Business, August 2010

“Running Your Business as an RIA,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010

New York Society of Security Analysts Alternative Analysts’ Forum: How Regulation is Changing the Hedge Fund Industry, April 2010

“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,” Financial Research Associates 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,” Alternative Investment Financial Executives Association Meeting, September 2009

“Preparing for SEC Registration and New Reporting Requirements,” SRZ Investment Management Hot Topics, September 2009

“Recent Legislative Developments for Hedge Funds,” New York State Bar Association Structured Products & Derivatives Law Committee Luncheon, September 2009

“New Alternatives to the Custody/Prime Broker Model,” Managed Funds Association 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, 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,” Financial Research Associates Sixth Hedge Fund Accounting & Administration Forum, July 2008

“The Accountant’s Guide to Surviving an SEC or NFA Examination,” Financial Research Associates 10th Effective Hedge Fund Tax Practices Conference, May 2008

“Hear Directly from the Regulators,” Financial Research Associates Fifth 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, 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,” Institute for International Research Hedge Fund Regulation & Compliance Seminar, April 2007

“Regulatory Sweeps: Past, Present & Future,” SRZ Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006

Memberships

  • American Bar Association
    • Hedge Funds Subcommittee of the Federal Regulation of Securities Committee
  • Managed Funds Association
    • Steering Committee of the Outside Counsel Forum
  • New York City Bar Association
    • Private Investment Funds Committee

Distinctions

  • Chambers USA
  • The Legal 500 US
  • New York Super Lawyers
  • Who’s Who Legal: The International Who’s Who of Private Funds Lawyers