Bar Admissions
- New York
Education
- University of Pennsylvania Law School, JD
- cum laude
- Colgate University, BA
- cum laude
Craig Stein
Partner
Co-Head of the Finance Group. Represents issuers, underwriters, collateral managers and investors in collateralized loan obligations (CLOs), and advises on other structured finance and asset-backed transactions and swaps and other derivative products, including prime brokerage and customer trading agreements.
Craig is recognized in the area of finance and derivatives by the prestigious legal directory Chambers USA: America’s Leading Lawyers for Business, which noted that satisfied clients praised him for his “very broad knowledge of the markets” and for being “incredibly responsive and helpful in thinking through issues” and “very thoughtful about the market.” Chambers also stated, “He is known for his work in derivative products, representing issuers, underwriters and portfolio purchasers in CLOs. Peers find his work in structured products and derivatives impressive.” The Legal 500 US has noted that Craig is “recognized for his thought leadership on regulatory issues affecting both the securitization and derivatives markets.”
Craig is a member of the American Bar Association, the New York City Bar Association, the New York State Bar Association, the Loan Syndications and Trading Association, the International Swaps and Derivatives Association and the Structured Finance Association.
He is a much sought-after speaker for structured finance and hedge fund industry conferences and webinars and the author of numerous articles on advanced financial products.
Craig is the author of “U.S. CLOs: Past and Present” in The Journal of Structured Finance. He has also co-authored:
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, 2022
- “CLOs and the Changing Landscape after COVID-19, International Comparative Legal Guide to Securitisation 2021
- “CLOs and LIBOR Transition,” International Comparative Legal Guide to Securitisation 2020
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide - Securitisation 2024, May 2024
- “SEC Adopts Final Rule to Prohibit Conflicts of Interest in Certain Securitizations,” Schulte Alert, Dec. 15, 2023
- “Relief for US CLOs After ‘Unexpected’ SEC Exemption,” GlobalCapital, Aug. 24, 2023 (quoted)
- “CLOs Excluded From SEC’s New Private Fund Advisers Rules,” Schulte Alert, Aug. 24, 2023
- “Refis to breathe life into US CLOs as Elmwood prices,” GlobalCapital, Aug. 15, 2023 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, May 2023
- “CLOs: Adding Flexibility to Engage in Liability Management Transactions,” Schulte Alert, Dec. 5, 2022
- “CLOs Face Higher Delinquencies, Say Managers,” GlobalCapital, Oct. 17, 2022 (quoted)
- “ESMA Template Reporting To Be Required for EU Institutions Which Invest in Non-EU Securitisations,” Schulte Alert, Oct. 13, 2022
- “CLO Monthly: New-Issue Recovers from August Lull at $13B Pace via 29 Deals,” LevFin Insights, Oct. 4, 2022 (quoted)
- “Administrative Burden,” Structured Credit Investor, July 15, 2022 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2022, May 2022
- “EBA Publishes Final Draft Risk Retention RTS,” Schulte Alert, April 21, 2022
- “CLOs and the Changing Landscape after COVID-19,” International Comparative Legal Guide to Securitisation 2021, May 2021
- “LIBOR Transition Update: New York State Legislature Passes LIBOR Transition Bill,” Schulte Alert, April 7, 2021
- “FCA Announces Dates LIBOR Settings Will Cease to Be Provided or Be Representative; ISDA Declares Index Cessation Event and Fixing of Spread Adjustment,” Schulte Alert, March 8, 2021
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues, Law Journal Press
- “LIBOR Transition: ICE Benchmark Administration to Consult on Intent to Cease Publishing USD LIBOR Rates as of Certain Dates; A Possible Temporary Reprieve for Some Rates,” Schulte Alert, Dec. 9, 2020
- “Regulated Funds: SEC Adopts New Rule Governing the Use of Derivatives by Registered Investment Companies and BDCs,” Schulte Alert, Nov. 9, 2020
- “CFTC Adopts Phase VI Compliance Date Extension for Initial Margin Compliance,” Schulte Alert, Oct. 29, 2020
- “LIBOR Transition: ISDA 2020 IBOR Fallbacks Protocol,” Schulte Alert, Oct. 29, 2020
- “Structural Change – New U.S. CLO docs anticipating Volcker,” Structured Credit Investor, July 15, 2020 (quoted)
- “Volcker Rule 2.0 – Impact of Final Rule on CLOs,” Schulte Alert, June 29, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Structural Hurdles – U.S. CLO Managers Face Restructuring Challenges,” Structured Credit Investor, June 18, 2020 (quoted)
- “CLOs and LIBOR Transition,” The International Comparative Legal Guide to: Securitisation 2020, Global Legal Group
- “LIBOR Transition Update: ARRC Publishes Best Practices,” Schulte Alert, May 28, 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “TALF 2.0: CLOs as Eligible Collateral,” Schulte Alert, May 13, 2020
- “TALF 2.0: Private Investment Funds as Eligible Borrowers,” Schulte Alert, May 13, 2020
- “Considerations for CLO Participants in Light of COVID-19,” Reorg, May 2020
- “Overnight LIBOR and SOFR Performance During the COVID-19 Crisis,” Schulte Alert, April 22, 2020
- “Uncleared Margin Rules: BCBS and IOSCO Grant One-Year Extension on Phase 5/6 Implementation,” Schulte Alert, April 3, 2020
- “New Term Asset-Backed Securities Loan Facility Established by Federal Reserve in Wake of COVID-19,” Schulte Alert, April 2, 2020
- “CFTC Update: Limited Relief on Uncleared Margin Requirements,” Schulte Alert, March 19, 2020
- “Private Funds Guidance – Considerations During Volatile Markets for Hedge Funds and Credit, Direct Lending and Distressed Funds (COVID-19),” Schulte Publication, March 16, 2020
- “Short-Selling – Update –Belgium, France, Greece and Italy,” Schulte Alert, March 18, 2020
- “CLO Guidance – The Impact of COVID-19 – Considerations for Managers of Collateralized Loan Obligations,” Schulte Alert, March 17, 2020
- “Short-Selling – Belgium, France, Italy and Spain Announce Short-Selling Bans,” Schulte Alert, March 17, 2020
- “Trading Agreements – Buy-Side Considerations (COVID-19),” Schulte Alert, March 17, 2020
- “Short-Selling – ESMA Lowers Thresholds for Reporting to 0.1%,” Schulte Alert, March 16, 2020
- “Regulatory Agencies Request Comments on Proposed Amendments to the Volcker Rule Which Will Affect Collateralized Loan Obligations,” Schulte Alert, Jan. 31, 2020
- “CLOs in the Current Regulatory Environment,” The International Comparative Legal Guide to: Securitisation 2019, Global Legal Group, co-author
- Hedge Funds: Formation, Operation and Regulation, ALM Law Journal Press, co-author; Full Court Press, 2022, co-author
- “U.S. CLOs: The End of U.S. Risk Retention for Collateral Managers?” The International Comparative Legal Guide to: Securitisation 2018, Global Legal Group, co-author
- “What is Magic Johnson Doing With These Chicago Investors?” Crain’s Chicago Business, Sept. 16, 2017 (quoted)
- “Current Issues in the CLO Market: As of February 2017,” The International Comparative Legal Guide to: Securitisation 2017, Global Legal Group, April 2017, co-author
- “New EMIR Variation Margin Requirements,” Schulte Alert, Feb. 28, 2017, co-author
- “U.S. CLOs: Past and Present,” The Journal of Structured Finance, Summer 2016
- “CLOs and Risk Retention in the U.S. and EU: Complying with the Rules,” The International Comparative Legal Guide to: Securitisation 2016 , Global Legal Group, April 2016, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps,” The Hedge Fund Journal, November 2015, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps – What Investment Managers Need to Know,” Schulte Alert, Nov. 9, 2015, co-author
- “New Margin Requirements for Uncleared Swaps,” Harvard Business Law Review Online, Vol. 5, 2015, co-author
- “CLOs and Risk Retention,” The International Comparative Legal Guide to: Securitisation 2015, Global Legal Group, co-author
- “New 2014 ISDA Credit Derivatives Definitions to Go into Effect – Protocol Adherence Period Open,” Schulte Alert, Sept. 8, 2014, co-author
- “CLO 3.0: The Impact of Regulations,” The International Comparative Legal Guide to: Securitisation 2014, Global Legal Group, co-author
- “Swaps Update: Packaged Transaction Relief Extended for Certain Transactions,” Schulte Alert, May 5, 2014, co-author
- “Swaps Update: ‘Triangular Setoff’ Held Unenforceable in Bankruptcy Cases,” Schulte Alert, Feb. 13, 2014, co-author
- “CFTC SEF Update,” Schulte Alert, Feb. 11, 2014, co-author
- “Swaps Update: Mandatory Trading on SEFs Commences February 15 for Certain Interest Rate Swaps,” Schulte Alert, Jan. 28, 2014, co-author
- “CFTC Defers Effectiveness of Oral Recording Requirements for Registered Commodity Trading Advisors Holding SEF Memberships,” Schulte Alert, Dec. 23, 2013, co-author
- “Derivatives Update: ESMA Announces the Approval of Trade Repositories and Central Reporting Obligation Date,” Schulte Alert, Nov. 13, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” The Hedge Fund Journal, June 2013, co-author
- “CFTC Update: Certain Equity Total Return Swaps to Count Toward De Minimis Exemption Starting July 1,” Schulte Alert, June 18, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” Schulte Alert, June 12, 2013, co-author
- “Reminder: Swaps Compliance Dates for Commodity Pool Operators and Investment Fund Managers,” Schulte Alert, May 31, 2013, co-author
- “CFTC Grants Temporary Relief for FX and Swaps Prime Brokerage Arrangements: Context for Private Fund Managers and Other Investment Advisers,” Schulte Alert, May 6, 2013, co-author
- “Margin Costs of OTC Swap Clearing Rules,” 3 Harv. Bus. L. Rev. Online 152, 2013, co-author
- “CLOs: An Expanding Platform,” The International Comparative Legal Guide to: Securitisation 2013 , Global Legal Group, April 2013, co-author
- “Collateralized Loan Obligations: What to Expect When You Are Expecting Your First CLO,” The Hedge Fund Journal, March 2013, co-author
- “SWAPS UPDATE: Investment Fund Deadline for Swap Data Reporting, Recordkeeping and CICIs Is April 10,” Schulte Alert, March 21, 2013, co-author
- “ISDA to Publish Second Addendum to the August 2012 Protocol,” Schulte Alert, Feb. 28, 2013, co-author
- “Update for Swap Counterparties: ISDAs Dodd-Frank Protocol – Addition of Addendum I,” Schulte Alert, Oct. 5, 2012, co-author
- “ISDA Publishes Tri-party IA Notices for the Custody of Collateral for OTC Swap Counterparties,” Schulte Alert, Sept. 4, 2012, co-author
- “Update for Swap Counterparties: New Web Portal Launched to Assign CFTC Interim Compliant Identifiers,” Schulte Alert, Aug. 23, 2012, co-author
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012, co-author
- “Eurozone Crisis: ISDA Publishes the Illegality/Force Majeure Protocol,” Schulte Alert, July 12, 2012, co-author
- “SEC and CFTC Publish Entity Rule Definitions: Impact on Private Investment Funds,” Schulte Alert, May 22, 2012, co-author
- “New Structural Features for Collateralised Loan Obligations,” The International Comparative Legal Guide to: Securitisation 2012 (Global Legal Group), April 2012, co-author
- “CFTC Publishes Final Rule on Collateral Segregation for Cleared Swaps,” Schulte Alert, March 8, 2012, co-author
- “CFTC Publishes Final Swap Data Rules and Real-Time Reporting Rule,” Schulte Alert, Feb. 1, 2012, co-author
- “Case Study: ZING VII,” Law360, Jan. 26, 2012, co-author
- “Bankruptcy Court Approves Plan to Liquidate CDO,” Schulte Alert, Jan. 19, 2012, co-author
- “Zais Investment Grade Limited VII — CDO Noteholders Take Advantage of Chapter 11,” Schulte Alert, Oct. 3, 2011, co-author
- “SEC Proposal on Prohibition Against Conflicts of Interest in Certain Securitizations,” Schulte Alert, Sept. 22, 2011, co-author
- “Dodd Frank – One Year On,” VC Experts, September 2011, co-author
- “Dodd Frank – One Year On,” International Financial Law Review, August 2011, co-author
- “On the CLO Horizon – Regulations Expected to Impact CLOs,” The International Comparative Legal Guide to: Securitisation 2011, Global Legal Group, May 2011, co-author
- “CFTC Proposes to Discontinue Widely-Used Registration Exemptions,” Schulte Alert, March 10, 2011, co-author
- “Swap Market Regulation: New Rules for Dealers and Major Participants Proposed by CFTC and SEC,” Schulte Memorandum, Jan. 7, 2011, co-author
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010, co-author
- “What the Changes Really Mean,” International Financial Law Review Derivatives Guide, July/August 2010, co-author
- “New Bullet LCDS Contract Replaces Cancellable Contract,” Pratt’s Journal of Bankruptcy Law, Volume 6, No. 4, June 2010, co-author
- “Lehman Brothers Court: Waterfall Subordination Provisions Unenforceable in Bankruptcy,” Pratt’s Journal of Bankruptcy Law, Vol. 6 No. 2, February/March 2010
- “Negative Basis Trade Basics,” Derivatives Week, November 17, 2006
- “Credit Default Swaps on Asset-Backed Securities,” Credit, November 2002
- “CDOs 101: Everything You Wanted to Know But Were Afraid to Ask,” Loan Market Week, Nov. 18, 2002
- “Structured Hedge Fund Products,” Schulte Investment Management Developments, October 2002
- “Four Forms of Synthetic CDOs,” Derivatives Week, June 10, 2002
- “CLO Manager Roundtable,” The Opal Group CLO Summit 2023, December 2023
- “Fund Finance,” Schulte Private Capital Conversations, July 2023
- “Comparing CLO Managers,” The Annual CLO Industry Conference, May 2023
- “SEC Securitization Proposal: First Look,” Managed Funds Association Webinar, March 2023
- “How to Construct a CLO: Building a Portfolio and Negotiating Documents,” The Opal Group CLO Summit 2022, December 2022
- “CLO Manager Roundtable,” 28th Annual ABS East Conference, October 2022
- “Fund Finance,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “US CLOs: 2021 Year-End Debrief,” European Leveraged Finance Association, December 2021
- Opal Financial Group's CLO Market Outlook Summit, May 2021
- “LIBOR Transition” and “Finance Strategies and Structures,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Managers Roundtable,” Opal Group CLO Summit 2020, December 2020
- “LIBOR: Going, Going, GONE!,” 13th Annual Alternative Asset Valuation Symposium, November 2020
- “Fund Finance and Structured Finance,” Schulte Webinar, October 2020
- MFA Chief Compliance Officer Forum Videoconference, July 2020
- “U.S. Manager Roundtable,” Opal Group CLO Market Outlook Forum 2020, June 2020
- “CLO Considerations for Distressed Investors,” Schulte and Reorg Webinar, April 2020
- “CLO Markets in a Regulated Environment,” Opal Group CLO Summit 2019, California, December 2019
- “Manager Tiering: Qualities that Make an Investor Swipe Right,” IMN 8th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2019
- “FAQ: Risk Retention Rules,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- “CLO 2.0,” Opal Financial Group CLO Summit 2018, Dana Point, Calif., November 2018
- “Manager Tiering: How are Investors Evaluating Manager Performance?” IMN 7th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2018
- “CLOs, Warehouse Facilities and Risk Retention Vehicles,” Schulte 27th Annual Private Investment Funds Seminar, New York, January 2018
- “CLO Markets in a Regulated Environment,” Opal Financial Group CLO Summit 2017, Dana Point, Calif., December 2017
- “Making Sense of Risk Retention Vehicles,” Creditflux CLO Investor Summit, New York, October 2017
- “U.S. Versus Europe: Risk Retention as a Political Football, and the Impact of Brexit,” IMN 6th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, May 2017
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2017
- “Financing for Funds and Managers,” Schulte 26th Annual Private Investment Funds Seminar, New York, January 2017
- “How to Construct a CLO,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2016
- “Collateralized Loan Obligations, A ‘101,’” IMN 5th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2016
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2016
- “Trading Compliance: Managing Regulatory Risk,” Schulte 25th Annual Private Investment Funds Seminar, New York, January 2016
- “CLO Markets in a Regulated Environment,” Opal Financial Group 3rd Annual CLO Summit, Carlsbad, Calif., December 2015
- “Changes in the Legal Documents/Terms/Negotiations,” How Banks and Alternative Asset Managers Need to Work Together to Manage Changes Post Basel III, Wells Fargo Seminar, New York, September 2015
- “Launching a CLO Platform: Assessing Strategy and Challenges,” IMN 4th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2015
- “Derivatives in Securitization,” NYCBA Current Issues in Securitization, New York, April 2015
- “Trading Compliance,” Schulte 24th Annual Private Investment Funds Seminar, New York, January 2015
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2014
- “Navigating Buy-side Risks and Best Practices for SEFs and Clearing,” Risk.net Derivatives OTC Clearing, New York, April 2014
- “Swaps Update: Segregation of Initial Margin for Uncleared Swaps,” Schulte Webinar, April 2014
- “Legal and Structural Considerations: How to Effectively Analyze a CLO,” IMN 3rd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2014
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, March 2014
- FEA Swaps Execution in the New Regulatory Environment, New York, March 2014
- “Swap Execution Facilities: The Onboarding Process,” Schulte Webinar, February 2014
- “CLO and Leveraged Loan Overview/CLOs — 101,” SFIG & IMN ABS Vegas, January 2014
- “CFTC and Derivatives Update,” Schulte 23rd Annual Private Investment Funds Seminar, New York, January 2014
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2013
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, November 2013
- “SEFs and Clearing in the US and EU: How to Prepare,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, November 2013
- “Trading Documentation: You Are Only as Strong as Your Weakest Link,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, October 2013
- “Documenting and Negotiating Prime Brokerage Agreements,” Financial Executives Alliance, New York, September 2013
- “CFTC U.S. Person Definition and the Scope of EMIR: The Impact on Hedge Fund Managers,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, September 2013
- “Trading and Finance,” Eze Castle Integration & KPMG Hedge Fund Launch 2.0: Navigating the New Environment, New York, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “Regulatory and Accounting Challenges and Hurdles,” IMN 2nd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2013
- “Investing in Corporate Credit,” Schulte 22nd Annual Private Investment Funds Seminar, New York, January 2013
- “CFTC Update: What Fund Managers Need to Know,” Schulte Investment Management Hot Topics, New York, October 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Regulatory and Accounting Challenges and Hurdles,” IMN 1st Annual CLO and Leveraged Loan Conference, New York, March 2012
- “Leverage for Investment Funds” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, New York, January 2012
- “Counterparty Risk Management,” New York Hedge Fund Networking Group Membership Meeting, New York, December 2011
- “The Return of CLOs: Changes That Matter to Managers and Investors,” Schulte Audio Conference Series, July 2011
- “The Impact of Derivatives Regulation on Private Funds,” Schulte 20th Annual Private Investment Funds Seminar, New York, January 2011
- “ISDA 2010 HIRE Act Protocol: What Fund Managers Need to Understand Before September 14, 2010,” Schulte Audio Conference Series, August 2010
- “Central Clearing of Derivatives: What Investment Managers Need to Know,” Schulte Investment Management Hot Topics, New York, June 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, New York, January 2010
- Moderator, “The 5 Most Important Points to Consider When Negotiating Master ISDA Agreements,” GAIM Ops Webinar, December 2009
- “How to Find the Right Prime Broker and Get the Most Out of It,” Reuters HedgeWorld Webinar, November 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Participating in Public-Private Investment Funds Sponsored by the U.S. Treasury and Updates on TALF,” Schulte Audio Conference Series, March 2009
- “Counterparty Insolvency, Defaults and the Nature of Ownership,” IBA’s 10th Annual International Conference on Private Investment Funds, London, March 2009
- “Accessing the Team Asset-Backed Securities Loan Facility (TALF) and the U.S. Treasury Proposal to Create a Public-Private Fund,” Schulte Audio Conference Series, March 2009
- “Counterparty Relationships,” Schulte 18th Annual Private Investment Funds Seminar, New York, January 2009
- “Loan Total Return Swaps,” Schulte Investment Management Hot Topics Seminar, New York, April 2008
- “Credit Default Swaps: Using the ISDA PAUG Dealer Forms for CDO and MBS,” ACA Negotiating and Tailoring ISDA Master Agreements & Confirmations, New York, March 2008
- “Developments in Structured Products & Derivatives,” Schulte 17th Annual Private Investment Funds Seminar, New York, January 2008
- Opal Financial Group CDO Summit, Dana Point, Calif., December 2007
- “CDS of ABS,” 13th Annual ABS East, Orlando, Fla., November 2007
- “Brokers, Counterparties and Derivatives: Managing the Risks,” Schulte Investment Management Hot Topics, New York, September 2007
- “Permanent Capital Investment Vehicles,” Schulte Cutting Edge Alternative Asset Management Deals Seminar, New York, July 2007
- Moderator, “CDS of ABS/MBS,” ABS East, Orlando, Fla., November 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2005
- “CDOs, Credit Derivatives and Synthetics: An Overview,” ABS East Conference, October 2004
- “Emerging Hedge Fund Issues,” Schulte Seminar, London, October 2003
- “Principal Protected Funds,” ABS East Conference, Ft. Lauderdale, Fla., October 2003
- “Determining the Direction of SWAPS and Other Derivative Products,” Institute for International Research Compliance For Hedge Funds Conference, New York, July 2003
- “Legal, Regulatory and Structuring Issues for All Types of Principal Protected Plans,” Innovative Principal Protected Investment Products Conference, Boston, January 2003
- “Credit Derivatives and Synthetic Structures,” Opal Financial Group Conference, Laguna Niguel, Calif., December 2002
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- International Swaps and Derivatives Association
- Loan Syndications and Trading Association
- Structured Finance Association
- Chambers Global
- Chambers USA
- The Legal 500 US
- Expert Guide to the World’s Leading Banking, Finance and Transactional Law Lawyers – Structured Finance and Securitisation
- Rogers & Wells
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide - Securitisation 2024, May 2024
- “SEC Adopts Final Rule to Prohibit Conflicts of Interest in Certain Securitizations,” Schulte Alert, Dec. 15, 2023
- “Relief for US CLOs After ‘Unexpected’ SEC Exemption,” GlobalCapital, Aug. 24, 2023 (quoted)
- “CLOs Excluded From SEC’s New Private Fund Advisers Rules,” Schulte Alert, Aug. 24, 2023
- “Refis to breathe life into US CLOs as Elmwood prices,” GlobalCapital, Aug. 15, 2023 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, May 2023
- “CLOs: Adding Flexibility to Engage in Liability Management Transactions,” Schulte Alert, Dec. 5, 2022
- “CLOs Face Higher Delinquencies, Say Managers,” GlobalCapital, Oct. 17, 2022 (quoted)
- “ESMA Template Reporting To Be Required for EU Institutions Which Invest in Non-EU Securitisations,” Schulte Alert, Oct. 13, 2022
- “CLO Monthly: New-Issue Recovers from August Lull at $13B Pace via 29 Deals,” LevFin Insights, Oct. 4, 2022 (quoted)
- “Administrative Burden,” Structured Credit Investor, July 15, 2022 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2022, May 2022
- “EBA Publishes Final Draft Risk Retention RTS,” Schulte Alert, April 21, 2022
- “CLOs and the Changing Landscape after COVID-19,” International Comparative Legal Guide to Securitisation 2021, May 2021
- “LIBOR Transition Update: New York State Legislature Passes LIBOR Transition Bill,” Schulte Alert, April 7, 2021
- “FCA Announces Dates LIBOR Settings Will Cease to Be Provided or Be Representative; ISDA Declares Index Cessation Event and Fixing of Spread Adjustment,” Schulte Alert, March 8, 2021
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues, Law Journal Press
- “LIBOR Transition: ICE Benchmark Administration to Consult on Intent to Cease Publishing USD LIBOR Rates as of Certain Dates; A Possible Temporary Reprieve for Some Rates,” Schulte Alert, Dec. 9, 2020
- “Regulated Funds: SEC Adopts New Rule Governing the Use of Derivatives by Registered Investment Companies and BDCs,” Schulte Alert, Nov. 9, 2020
- “CFTC Adopts Phase VI Compliance Date Extension for Initial Margin Compliance,” Schulte Alert, Oct. 29, 2020
- “LIBOR Transition: ISDA 2020 IBOR Fallbacks Protocol,” Schulte Alert, Oct. 29, 2020
- “Structural Change – New U.S. CLO docs anticipating Volcker,” Structured Credit Investor, July 15, 2020 (quoted)
- “Volcker Rule 2.0 – Impact of Final Rule on CLOs,” Schulte Alert, June 29, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Structural Hurdles – U.S. CLO Managers Face Restructuring Challenges,” Structured Credit Investor, June 18, 2020 (quoted)
- “CLOs and LIBOR Transition,” The International Comparative Legal Guide to: Securitisation 2020, Global Legal Group
- “LIBOR Transition Update: ARRC Publishes Best Practices,” Schulte Alert, May 28, 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “TALF 2.0: CLOs as Eligible Collateral,” Schulte Alert, May 13, 2020
- “TALF 2.0: Private Investment Funds as Eligible Borrowers,” Schulte Alert, May 13, 2020
- “Considerations for CLO Participants in Light of COVID-19,” Reorg, May 2020
- “Overnight LIBOR and SOFR Performance During the COVID-19 Crisis,” Schulte Alert, April 22, 2020
- “Uncleared Margin Rules: BCBS and IOSCO Grant One-Year Extension on Phase 5/6 Implementation,” Schulte Alert, April 3, 2020
- “New Term Asset-Backed Securities Loan Facility Established by Federal Reserve in Wake of COVID-19,” Schulte Alert, April 2, 2020
- “CFTC Update: Limited Relief on Uncleared Margin Requirements,” Schulte Alert, March 19, 2020
- “Private Funds Guidance – Considerations During Volatile Markets for Hedge Funds and Credit, Direct Lending and Distressed Funds (COVID-19),” Schulte Publication, March 16, 2020
- “Short-Selling – Update –Belgium, France, Greece and Italy,” Schulte Alert, March 18, 2020
- “CLO Guidance – The Impact of COVID-19 – Considerations for Managers of Collateralized Loan Obligations,” Schulte Alert, March 17, 2020
- “Short-Selling – Belgium, France, Italy and Spain Announce Short-Selling Bans,” Schulte Alert, March 17, 2020
- “Trading Agreements – Buy-Side Considerations (COVID-19),” Schulte Alert, March 17, 2020
- “Short-Selling – ESMA Lowers Thresholds for Reporting to 0.1%,” Schulte Alert, March 16, 2020
- “Regulatory Agencies Request Comments on Proposed Amendments to the Volcker Rule Which Will Affect Collateralized Loan Obligations,” Schulte Alert, Jan. 31, 2020
- “CLOs in the Current Regulatory Environment,” The International Comparative Legal Guide to: Securitisation 2019, Global Legal Group, co-author
- Hedge Funds: Formation, Operation and Regulation, ALM Law Journal Press, co-author; Full Court Press, 2022, co-author
- “U.S. CLOs: The End of U.S. Risk Retention for Collateral Managers?” The International Comparative Legal Guide to: Securitisation 2018, Global Legal Group, co-author
- “What is Magic Johnson Doing With These Chicago Investors?” Crain’s Chicago Business, Sept. 16, 2017 (quoted)
- “Current Issues in the CLO Market: As of February 2017,” The International Comparative Legal Guide to: Securitisation 2017, Global Legal Group, April 2017, co-author
- “New EMIR Variation Margin Requirements,” Schulte Alert, Feb. 28, 2017, co-author
- “U.S. CLOs: Past and Present,” The Journal of Structured Finance, Summer 2016
- “CLOs and Risk Retention in the U.S. and EU: Complying with the Rules,” The International Comparative Legal Guide to: Securitisation 2016 , Global Legal Group, April 2016, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps,” The Hedge Fund Journal, November 2015, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps – What Investment Managers Need to Know,” Schulte Alert, Nov. 9, 2015, co-author
- “New Margin Requirements for Uncleared Swaps,” Harvard Business Law Review Online, Vol. 5, 2015, co-author
- “CLOs and Risk Retention,” The International Comparative Legal Guide to: Securitisation 2015, Global Legal Group, co-author
- “New 2014 ISDA Credit Derivatives Definitions to Go into Effect – Protocol Adherence Period Open,” Schulte Alert, Sept. 8, 2014, co-author
- “CLO 3.0: The Impact of Regulations,” The International Comparative Legal Guide to: Securitisation 2014, Global Legal Group, co-author
- “Swaps Update: Packaged Transaction Relief Extended for Certain Transactions,” Schulte Alert, May 5, 2014, co-author
- “Swaps Update: ‘Triangular Setoff’ Held Unenforceable in Bankruptcy Cases,” Schulte Alert, Feb. 13, 2014, co-author
- “CFTC SEF Update,” Schulte Alert, Feb. 11, 2014, co-author
- “Swaps Update: Mandatory Trading on SEFs Commences February 15 for Certain Interest Rate Swaps,” Schulte Alert, Jan. 28, 2014, co-author
- “CFTC Defers Effectiveness of Oral Recording Requirements for Registered Commodity Trading Advisors Holding SEF Memberships,” Schulte Alert, Dec. 23, 2013, co-author
- “Derivatives Update: ESMA Announces the Approval of Trade Repositories and Central Reporting Obligation Date,” Schulte Alert, Nov. 13, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” The Hedge Fund Journal, June 2013, co-author
- “CFTC Update: Certain Equity Total Return Swaps to Count Toward De Minimis Exemption Starting July 1,” Schulte Alert, June 18, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” Schulte Alert, June 12, 2013, co-author
- “Reminder: Swaps Compliance Dates for Commodity Pool Operators and Investment Fund Managers,” Schulte Alert, May 31, 2013, co-author
- “CFTC Grants Temporary Relief for FX and Swaps Prime Brokerage Arrangements: Context for Private Fund Managers and Other Investment Advisers,” Schulte Alert, May 6, 2013, co-author
- “Margin Costs of OTC Swap Clearing Rules,” 3 Harv. Bus. L. Rev. Online 152, 2013, co-author
- “CLOs: An Expanding Platform,” The International Comparative Legal Guide to: Securitisation 2013 , Global Legal Group, April 2013, co-author
- “Collateralized Loan Obligations: What to Expect When You Are Expecting Your First CLO,” The Hedge Fund Journal, March 2013, co-author
- “SWAPS UPDATE: Investment Fund Deadline for Swap Data Reporting, Recordkeeping and CICIs Is April 10,” Schulte Alert, March 21, 2013, co-author
- “ISDA to Publish Second Addendum to the August 2012 Protocol,” Schulte Alert, Feb. 28, 2013, co-author
- “Update for Swap Counterparties: ISDAs Dodd-Frank Protocol – Addition of Addendum I,” Schulte Alert, Oct. 5, 2012, co-author
- “ISDA Publishes Tri-party IA Notices for the Custody of Collateral for OTC Swap Counterparties,” Schulte Alert, Sept. 4, 2012, co-author
- “Update for Swap Counterparties: New Web Portal Launched to Assign CFTC Interim Compliant Identifiers,” Schulte Alert, Aug. 23, 2012, co-author
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012, co-author
- “Eurozone Crisis: ISDA Publishes the Illegality/Force Majeure Protocol,” Schulte Alert, July 12, 2012, co-author
- “SEC and CFTC Publish Entity Rule Definitions: Impact on Private Investment Funds,” Schulte Alert, May 22, 2012, co-author
- “New Structural Features for Collateralised Loan Obligations,” The International Comparative Legal Guide to: Securitisation 2012 (Global Legal Group), April 2012, co-author
- “CFTC Publishes Final Rule on Collateral Segregation for Cleared Swaps,” Schulte Alert, March 8, 2012, co-author
- “CFTC Publishes Final Swap Data Rules and Real-Time Reporting Rule,” Schulte Alert, Feb. 1, 2012, co-author
- “Case Study: ZING VII,” Law360, Jan. 26, 2012, co-author
- “Bankruptcy Court Approves Plan to Liquidate CDO,” Schulte Alert, Jan. 19, 2012, co-author
- “Zais Investment Grade Limited VII — CDO Noteholders Take Advantage of Chapter 11,” Schulte Alert, Oct. 3, 2011, co-author
- “SEC Proposal on Prohibition Against Conflicts of Interest in Certain Securitizations,” Schulte Alert, Sept. 22, 2011, co-author
- “Dodd Frank – One Year On,” VC Experts, September 2011, co-author
- “Dodd Frank – One Year On,” International Financial Law Review, August 2011, co-author
- “On the CLO Horizon – Regulations Expected to Impact CLOs,” The International Comparative Legal Guide to: Securitisation 2011, Global Legal Group, May 2011, co-author
- “CFTC Proposes to Discontinue Widely-Used Registration Exemptions,” Schulte Alert, March 10, 2011, co-author
- “Swap Market Regulation: New Rules for Dealers and Major Participants Proposed by CFTC and SEC,” Schulte Memorandum, Jan. 7, 2011, co-author
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010, co-author
- “What the Changes Really Mean,” International Financial Law Review Derivatives Guide, July/August 2010, co-author
- “New Bullet LCDS Contract Replaces Cancellable Contract,” Pratt’s Journal of Bankruptcy Law, Volume 6, No. 4, June 2010, co-author
- “Lehman Brothers Court: Waterfall Subordination Provisions Unenforceable in Bankruptcy,” Pratt’s Journal of Bankruptcy Law, Vol. 6 No. 2, February/March 2010
- “Negative Basis Trade Basics,” Derivatives Week, November 17, 2006
- “Credit Default Swaps on Asset-Backed Securities,” Credit, November 2002
- “CDOs 101: Everything You Wanted to Know But Were Afraid to Ask,” Loan Market Week, Nov. 18, 2002
- “Structured Hedge Fund Products,” Schulte Investment Management Developments, October 2002
- “Four Forms of Synthetic CDOs,” Derivatives Week, June 10, 2002
- “CLO Manager Roundtable,” The Opal Group CLO Summit 2023, December 2023
- “Fund Finance,” Schulte Private Capital Conversations, July 2023
- “Comparing CLO Managers,” The Annual CLO Industry Conference, May 2023
- “SEC Securitization Proposal: First Look,” Managed Funds Association Webinar, March 2023
- “How to Construct a CLO: Building a Portfolio and Negotiating Documents,” The Opal Group CLO Summit 2022, December 2022
- “CLO Manager Roundtable,” 28th Annual ABS East Conference, October 2022
- “Fund Finance,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “US CLOs: 2021 Year-End Debrief,” European Leveraged Finance Association, December 2021
- Opal Financial Group's CLO Market Outlook Summit, May 2021
- “LIBOR Transition” and “Finance Strategies and Structures,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Managers Roundtable,” Opal Group CLO Summit 2020, December 2020
- “LIBOR: Going, Going, GONE!,” 13th Annual Alternative Asset Valuation Symposium, November 2020
- “Fund Finance and Structured Finance,” Schulte Webinar, October 2020
- MFA Chief Compliance Officer Forum Videoconference, July 2020
- “U.S. Manager Roundtable,” Opal Group CLO Market Outlook Forum 2020, June 2020
- “CLO Considerations for Distressed Investors,” Schulte and Reorg Webinar, April 2020
- “CLO Markets in a Regulated Environment,” Opal Group CLO Summit 2019, California, December 2019
- “Manager Tiering: Qualities that Make an Investor Swipe Right,” IMN 8th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2019
- “FAQ: Risk Retention Rules,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- “CLO 2.0,” Opal Financial Group CLO Summit 2018, Dana Point, Calif., November 2018
- “Manager Tiering: How are Investors Evaluating Manager Performance?” IMN 7th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2018
- “CLOs, Warehouse Facilities and Risk Retention Vehicles,” Schulte 27th Annual Private Investment Funds Seminar, New York, January 2018
- “CLO Markets in a Regulated Environment,” Opal Financial Group CLO Summit 2017, Dana Point, Calif., December 2017
- “Making Sense of Risk Retention Vehicles,” Creditflux CLO Investor Summit, New York, October 2017
- “U.S. Versus Europe: Risk Retention as a Political Football, and the Impact of Brexit,” IMN 6th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, May 2017
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2017
- “Financing for Funds and Managers,” Schulte 26th Annual Private Investment Funds Seminar, New York, January 2017
- “How to Construct a CLO,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2016
- “Collateralized Loan Obligations, A ‘101,’” IMN 5th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2016
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2016
- “Trading Compliance: Managing Regulatory Risk,” Schulte 25th Annual Private Investment Funds Seminar, New York, January 2016
- “CLO Markets in a Regulated Environment,” Opal Financial Group 3rd Annual CLO Summit, Carlsbad, Calif., December 2015
- “Changes in the Legal Documents/Terms/Negotiations,” How Banks and Alternative Asset Managers Need to Work Together to Manage Changes Post Basel III, Wells Fargo Seminar, New York, September 2015
- “Launching a CLO Platform: Assessing Strategy and Challenges,” IMN 4th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2015
- “Derivatives in Securitization,” NYCBA Current Issues in Securitization, New York, April 2015
- “Trading Compliance,” Schulte 24th Annual Private Investment Funds Seminar, New York, January 2015
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2014
- “Navigating Buy-side Risks and Best Practices for SEFs and Clearing,” Risk.net Derivatives OTC Clearing, New York, April 2014
- “Swaps Update: Segregation of Initial Margin for Uncleared Swaps,” Schulte Webinar, April 2014
- “Legal and Structural Considerations: How to Effectively Analyze a CLO,” IMN 3rd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2014
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, March 2014
- FEA Swaps Execution in the New Regulatory Environment, New York, March 2014
- “Swap Execution Facilities: The Onboarding Process,” Schulte Webinar, February 2014
- “CLO and Leveraged Loan Overview/CLOs — 101,” SFIG & IMN ABS Vegas, January 2014
- “CFTC and Derivatives Update,” Schulte 23rd Annual Private Investment Funds Seminar, New York, January 2014
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2013
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, November 2013
- “SEFs and Clearing in the US and EU: How to Prepare,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, November 2013
- “Trading Documentation: You Are Only as Strong as Your Weakest Link,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, October 2013
- “Documenting and Negotiating Prime Brokerage Agreements,” Financial Executives Alliance, New York, September 2013
- “CFTC U.S. Person Definition and the Scope of EMIR: The Impact on Hedge Fund Managers,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, September 2013
- “Trading and Finance,” Eze Castle Integration & KPMG Hedge Fund Launch 2.0: Navigating the New Environment, New York, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “Regulatory and Accounting Challenges and Hurdles,” IMN 2nd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2013
- “Investing in Corporate Credit,” Schulte 22nd Annual Private Investment Funds Seminar, New York, January 2013
- “CFTC Update: What Fund Managers Need to Know,” Schulte Investment Management Hot Topics, New York, October 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Regulatory and Accounting Challenges and Hurdles,” IMN 1st Annual CLO and Leveraged Loan Conference, New York, March 2012
- “Leverage for Investment Funds” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, New York, January 2012
- “Counterparty Risk Management,” New York Hedge Fund Networking Group Membership Meeting, New York, December 2011
- “The Return of CLOs: Changes That Matter to Managers and Investors,” Schulte Audio Conference Series, July 2011
- “The Impact of Derivatives Regulation on Private Funds,” Schulte 20th Annual Private Investment Funds Seminar, New York, January 2011
- “ISDA 2010 HIRE Act Protocol: What Fund Managers Need to Understand Before September 14, 2010,” Schulte Audio Conference Series, August 2010
- “Central Clearing of Derivatives: What Investment Managers Need to Know,” Schulte Investment Management Hot Topics, New York, June 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, New York, January 2010
- Moderator, “The 5 Most Important Points to Consider When Negotiating Master ISDA Agreements,” GAIM Ops Webinar, December 2009
- “How to Find the Right Prime Broker and Get the Most Out of It,” Reuters HedgeWorld Webinar, November 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Participating in Public-Private Investment Funds Sponsored by the U.S. Treasury and Updates on TALF,” Schulte Audio Conference Series, March 2009
- “Counterparty Insolvency, Defaults and the Nature of Ownership,” IBA’s 10th Annual International Conference on Private Investment Funds, London, March 2009
- “Accessing the Team Asset-Backed Securities Loan Facility (TALF) and the U.S. Treasury Proposal to Create a Public-Private Fund,” Schulte Audio Conference Series, March 2009
- “Counterparty Relationships,” Schulte 18th Annual Private Investment Funds Seminar, New York, January 2009
- “Loan Total Return Swaps,” Schulte Investment Management Hot Topics Seminar, New York, April 2008
- “Credit Default Swaps: Using the ISDA PAUG Dealer Forms for CDO and MBS,” ACA Negotiating and Tailoring ISDA Master Agreements & Confirmations, New York, March 2008
- “Developments in Structured Products & Derivatives,” Schulte 17th Annual Private Investment Funds Seminar, New York, January 2008
- Opal Financial Group CDO Summit, Dana Point, Calif., December 2007
- “CDS of ABS,” 13th Annual ABS East, Orlando, Fla., November 2007
- “Brokers, Counterparties and Derivatives: Managing the Risks,” Schulte Investment Management Hot Topics, New York, September 2007
- “Permanent Capital Investment Vehicles,” Schulte Cutting Edge Alternative Asset Management Deals Seminar, New York, July 2007
- Moderator, “CDS of ABS/MBS,” ABS East, Orlando, Fla., November 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2005
- “CDOs, Credit Derivatives and Synthetics: An Overview,” ABS East Conference, October 2004
- “Emerging Hedge Fund Issues,” Schulte Seminar, London, October 2003
- “Principal Protected Funds,” ABS East Conference, Ft. Lauderdale, Fla., October 2003
- “Determining the Direction of SWAPS and Other Derivative Products,” Institute for International Research Compliance For Hedge Funds Conference, New York, July 2003
- “Legal, Regulatory and Structuring Issues for All Types of Principal Protected Plans,” Innovative Principal Protected Investment Products Conference, Boston, January 2003
- “Credit Derivatives and Synthetic Structures,” Opal Financial Group Conference, Laguna Niguel, Calif., December 2002
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- International Swaps and Derivatives Association
- Loan Syndications and Trading Association
- Structured Finance Association
- Chambers Global
- Chambers USA
- The Legal 500 US
- Expert Guide to the World’s Leading Banking, Finance and Transactional Law Lawyers – Structured Finance and Securitisation
- Rogers & Wells
Craig Stein
Partner
Co-Head of the Finance Group. Represents issuers, underwriters, collateral managers and investors in collateralized loan obligations (CLOs), and advises on other structured finance and asset-backed transactions and swaps and other derivative products, including prime brokerage and customer trading agreements.
Craig is recognized in the area of finance and derivatives by the prestigious legal directory Chambers USA: America’s Leading Lawyers for Business, which noted that satisfied clients praised him for his “very broad knowledge of the markets” and for being “incredibly responsive and helpful in thinking through issues” and “very thoughtful about the market.” Chambers also stated, “He is known for his work in derivative products, representing issuers, underwriters and portfolio purchasers in CLOs. Peers find his work in structured products and derivatives impressive.” The Legal 500 US has noted that Craig is “recognized for his thought leadership on regulatory issues affecting both the securitization and derivatives markets.”
Craig is a member of the American Bar Association, the New York City Bar Association, the New York State Bar Association, the Loan Syndications and Trading Association, the International Swaps and Derivatives Association and the Structured Finance Association.
He is a much sought-after speaker for structured finance and hedge fund industry conferences and webinars and the author of numerous articles on advanced financial products.
Craig is the author of “U.S. CLOs: Past and Present” in The Journal of Structured Finance. He has also co-authored:
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, 2022
- “CLOs and the Changing Landscape after COVID-19, International Comparative Legal Guide to Securitisation 2021
- “CLOs and LIBOR Transition,” International Comparative Legal Guide to Securitisation 2020
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues
Bar Admissions
- New York
Education
- University of Pennsylvania Law School, JD
- cum laude
- Colgate University, BA
- cum laude
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide - Securitisation 2024, May 2024
- “SEC Adopts Final Rule to Prohibit Conflicts of Interest in Certain Securitizations,” Schulte Alert, Dec. 15, 2023
- “Relief for US CLOs After ‘Unexpected’ SEC Exemption,” GlobalCapital, Aug. 24, 2023 (quoted)
- “CLOs Excluded From SEC’s New Private Fund Advisers Rules,” Schulte Alert, Aug. 24, 2023
- “Refis to breathe life into US CLOs as Elmwood prices,” GlobalCapital, Aug. 15, 2023 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, May 2023
- “CLOs: Adding Flexibility to Engage in Liability Management Transactions,” Schulte Alert, Dec. 5, 2022
- “CLOs Face Higher Delinquencies, Say Managers,” GlobalCapital, Oct. 17, 2022 (quoted)
- “ESMA Template Reporting To Be Required for EU Institutions Which Invest in Non-EU Securitisations,” Schulte Alert, Oct. 13, 2022
- “CLO Monthly: New-Issue Recovers from August Lull at $13B Pace via 29 Deals,” LevFin Insights, Oct. 4, 2022 (quoted)
- “Administrative Burden,” Structured Credit Investor, July 15, 2022 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2022, May 2022
- “EBA Publishes Final Draft Risk Retention RTS,” Schulte Alert, April 21, 2022
- “CLOs and the Changing Landscape after COVID-19,” International Comparative Legal Guide to Securitisation 2021, May 2021
- “LIBOR Transition Update: New York State Legislature Passes LIBOR Transition Bill,” Schulte Alert, April 7, 2021
- “FCA Announces Dates LIBOR Settings Will Cease to Be Provided or Be Representative; ISDA Declares Index Cessation Event and Fixing of Spread Adjustment,” Schulte Alert, March 8, 2021
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues, Law Journal Press
- “LIBOR Transition: ICE Benchmark Administration to Consult on Intent to Cease Publishing USD LIBOR Rates as of Certain Dates; A Possible Temporary Reprieve for Some Rates,” Schulte Alert, Dec. 9, 2020
- “Regulated Funds: SEC Adopts New Rule Governing the Use of Derivatives by Registered Investment Companies and BDCs,” Schulte Alert, Nov. 9, 2020
- “CFTC Adopts Phase VI Compliance Date Extension for Initial Margin Compliance,” Schulte Alert, Oct. 29, 2020
- “LIBOR Transition: ISDA 2020 IBOR Fallbacks Protocol,” Schulte Alert, Oct. 29, 2020
- “Structural Change – New U.S. CLO docs anticipating Volcker,” Structured Credit Investor, July 15, 2020 (quoted)
- “Volcker Rule 2.0 – Impact of Final Rule on CLOs,” Schulte Alert, June 29, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Structural Hurdles – U.S. CLO Managers Face Restructuring Challenges,” Structured Credit Investor, June 18, 2020 (quoted)
- “CLOs and LIBOR Transition,” The International Comparative Legal Guide to: Securitisation 2020, Global Legal Group
- “LIBOR Transition Update: ARRC Publishes Best Practices,” Schulte Alert, May 28, 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “TALF 2.0: CLOs as Eligible Collateral,” Schulte Alert, May 13, 2020
- “TALF 2.0: Private Investment Funds as Eligible Borrowers,” Schulte Alert, May 13, 2020
- “Considerations for CLO Participants in Light of COVID-19,” Reorg, May 2020
- “Overnight LIBOR and SOFR Performance During the COVID-19 Crisis,” Schulte Alert, April 22, 2020
- “Uncleared Margin Rules: BCBS and IOSCO Grant One-Year Extension on Phase 5/6 Implementation,” Schulte Alert, April 3, 2020
- “New Term Asset-Backed Securities Loan Facility Established by Federal Reserve in Wake of COVID-19,” Schulte Alert, April 2, 2020
- “CFTC Update: Limited Relief on Uncleared Margin Requirements,” Schulte Alert, March 19, 2020
- “Private Funds Guidance – Considerations During Volatile Markets for Hedge Funds and Credit, Direct Lending and Distressed Funds (COVID-19),” Schulte Publication, March 16, 2020
- “Short-Selling – Update –Belgium, France, Greece and Italy,” Schulte Alert, March 18, 2020
- “CLO Guidance – The Impact of COVID-19 – Considerations for Managers of Collateralized Loan Obligations,” Schulte Alert, March 17, 2020
- “Short-Selling – Belgium, France, Italy and Spain Announce Short-Selling Bans,” Schulte Alert, March 17, 2020
- “Trading Agreements – Buy-Side Considerations (COVID-19),” Schulte Alert, March 17, 2020
- “Short-Selling – ESMA Lowers Thresholds for Reporting to 0.1%,” Schulte Alert, March 16, 2020
- “Regulatory Agencies Request Comments on Proposed Amendments to the Volcker Rule Which Will Affect Collateralized Loan Obligations,” Schulte Alert, Jan. 31, 2020
- “CLOs in the Current Regulatory Environment,” The International Comparative Legal Guide to: Securitisation 2019, Global Legal Group, co-author
- Hedge Funds: Formation, Operation and Regulation, ALM Law Journal Press, co-author; Full Court Press, 2022, co-author
- “U.S. CLOs: The End of U.S. Risk Retention for Collateral Managers?” The International Comparative Legal Guide to: Securitisation 2018, Global Legal Group, co-author
- “What is Magic Johnson Doing With These Chicago Investors?” Crain’s Chicago Business, Sept. 16, 2017 (quoted)
- “Current Issues in the CLO Market: As of February 2017,” The International Comparative Legal Guide to: Securitisation 2017, Global Legal Group, April 2017, co-author
- “New EMIR Variation Margin Requirements,” Schulte Alert, Feb. 28, 2017, co-author
- “U.S. CLOs: Past and Present,” The Journal of Structured Finance, Summer 2016
- “CLOs and Risk Retention in the U.S. and EU: Complying with the Rules,” The International Comparative Legal Guide to: Securitisation 2016 , Global Legal Group, April 2016, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps,” The Hedge Fund Journal, November 2015, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps – What Investment Managers Need to Know,” Schulte Alert, Nov. 9, 2015, co-author
- “New Margin Requirements for Uncleared Swaps,” Harvard Business Law Review Online, Vol. 5, 2015, co-author
- “CLOs and Risk Retention,” The International Comparative Legal Guide to: Securitisation 2015, Global Legal Group, co-author
- “New 2014 ISDA Credit Derivatives Definitions to Go into Effect – Protocol Adherence Period Open,” Schulte Alert, Sept. 8, 2014, co-author
- “CLO 3.0: The Impact of Regulations,” The International Comparative Legal Guide to: Securitisation 2014, Global Legal Group, co-author
- “Swaps Update: Packaged Transaction Relief Extended for Certain Transactions,” Schulte Alert, May 5, 2014, co-author
- “Swaps Update: ‘Triangular Setoff’ Held Unenforceable in Bankruptcy Cases,” Schulte Alert, Feb. 13, 2014, co-author
- “CFTC SEF Update,” Schulte Alert, Feb. 11, 2014, co-author
- “Swaps Update: Mandatory Trading on SEFs Commences February 15 for Certain Interest Rate Swaps,” Schulte Alert, Jan. 28, 2014, co-author
- “CFTC Defers Effectiveness of Oral Recording Requirements for Registered Commodity Trading Advisors Holding SEF Memberships,” Schulte Alert, Dec. 23, 2013, co-author
- “Derivatives Update: ESMA Announces the Approval of Trade Repositories and Central Reporting Obligation Date,” Schulte Alert, Nov. 13, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” The Hedge Fund Journal, June 2013, co-author
- “CFTC Update: Certain Equity Total Return Swaps to Count Toward De Minimis Exemption Starting July 1,” Schulte Alert, June 18, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” Schulte Alert, June 12, 2013, co-author
- “Reminder: Swaps Compliance Dates for Commodity Pool Operators and Investment Fund Managers,” Schulte Alert, May 31, 2013, co-author
- “CFTC Grants Temporary Relief for FX and Swaps Prime Brokerage Arrangements: Context for Private Fund Managers and Other Investment Advisers,” Schulte Alert, May 6, 2013, co-author
- “Margin Costs of OTC Swap Clearing Rules,” 3 Harv. Bus. L. Rev. Online 152, 2013, co-author
- “CLOs: An Expanding Platform,” The International Comparative Legal Guide to: Securitisation 2013 , Global Legal Group, April 2013, co-author
- “Collateralized Loan Obligations: What to Expect When You Are Expecting Your First CLO,” The Hedge Fund Journal, March 2013, co-author
- “SWAPS UPDATE: Investment Fund Deadline for Swap Data Reporting, Recordkeeping and CICIs Is April 10,” Schulte Alert, March 21, 2013, co-author
- “ISDA to Publish Second Addendum to the August 2012 Protocol,” Schulte Alert, Feb. 28, 2013, co-author
- “Update for Swap Counterparties: ISDAs Dodd-Frank Protocol – Addition of Addendum I,” Schulte Alert, Oct. 5, 2012, co-author
- “ISDA Publishes Tri-party IA Notices for the Custody of Collateral for OTC Swap Counterparties,” Schulte Alert, Sept. 4, 2012, co-author
- “Update for Swap Counterparties: New Web Portal Launched to Assign CFTC Interim Compliant Identifiers,” Schulte Alert, Aug. 23, 2012, co-author
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012, co-author
- “Eurozone Crisis: ISDA Publishes the Illegality/Force Majeure Protocol,” Schulte Alert, July 12, 2012, co-author
- “SEC and CFTC Publish Entity Rule Definitions: Impact on Private Investment Funds,” Schulte Alert, May 22, 2012, co-author
- “New Structural Features for Collateralised Loan Obligations,” The International Comparative Legal Guide to: Securitisation 2012 (Global Legal Group), April 2012, co-author
- “CFTC Publishes Final Rule on Collateral Segregation for Cleared Swaps,” Schulte Alert, March 8, 2012, co-author
- “CFTC Publishes Final Swap Data Rules and Real-Time Reporting Rule,” Schulte Alert, Feb. 1, 2012, co-author
- “Case Study: ZING VII,” Law360, Jan. 26, 2012, co-author
- “Bankruptcy Court Approves Plan to Liquidate CDO,” Schulte Alert, Jan. 19, 2012, co-author
- “Zais Investment Grade Limited VII — CDO Noteholders Take Advantage of Chapter 11,” Schulte Alert, Oct. 3, 2011, co-author
- “SEC Proposal on Prohibition Against Conflicts of Interest in Certain Securitizations,” Schulte Alert, Sept. 22, 2011, co-author
- “Dodd Frank – One Year On,” VC Experts, September 2011, co-author
- “Dodd Frank – One Year On,” International Financial Law Review, August 2011, co-author
- “On the CLO Horizon – Regulations Expected to Impact CLOs,” The International Comparative Legal Guide to: Securitisation 2011, Global Legal Group, May 2011, co-author
- “CFTC Proposes to Discontinue Widely-Used Registration Exemptions,” Schulte Alert, March 10, 2011, co-author
- “Swap Market Regulation: New Rules for Dealers and Major Participants Proposed by CFTC and SEC,” Schulte Memorandum, Jan. 7, 2011, co-author
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010, co-author
- “What the Changes Really Mean,” International Financial Law Review Derivatives Guide, July/August 2010, co-author
- “New Bullet LCDS Contract Replaces Cancellable Contract,” Pratt’s Journal of Bankruptcy Law, Volume 6, No. 4, June 2010, co-author
- “Lehman Brothers Court: Waterfall Subordination Provisions Unenforceable in Bankruptcy,” Pratt’s Journal of Bankruptcy Law, Vol. 6 No. 2, February/March 2010
- “Negative Basis Trade Basics,” Derivatives Week, November 17, 2006
- “Credit Default Swaps on Asset-Backed Securities,” Credit, November 2002
- “CDOs 101: Everything You Wanted to Know But Were Afraid to Ask,” Loan Market Week, Nov. 18, 2002
- “Structured Hedge Fund Products,” Schulte Investment Management Developments, October 2002
- “Four Forms of Synthetic CDOs,” Derivatives Week, June 10, 2002
- “CLO Manager Roundtable,” The Opal Group CLO Summit 2023, December 2023
- “Fund Finance,” Schulte Private Capital Conversations, July 2023
- “Comparing CLO Managers,” The Annual CLO Industry Conference, May 2023
- “SEC Securitization Proposal: First Look,” Managed Funds Association Webinar, March 2023
- “How to Construct a CLO: Building a Portfolio and Negotiating Documents,” The Opal Group CLO Summit 2022, December 2022
- “CLO Manager Roundtable,” 28th Annual ABS East Conference, October 2022
- “Fund Finance,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “US CLOs: 2021 Year-End Debrief,” European Leveraged Finance Association, December 2021
- Opal Financial Group's CLO Market Outlook Summit, May 2021
- “LIBOR Transition” and “Finance Strategies and Structures,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Managers Roundtable,” Opal Group CLO Summit 2020, December 2020
- “LIBOR: Going, Going, GONE!,” 13th Annual Alternative Asset Valuation Symposium, November 2020
- “Fund Finance and Structured Finance,” Schulte Webinar, October 2020
- MFA Chief Compliance Officer Forum Videoconference, July 2020
- “U.S. Manager Roundtable,” Opal Group CLO Market Outlook Forum 2020, June 2020
- “CLO Considerations for Distressed Investors,” Schulte and Reorg Webinar, April 2020
- “CLO Markets in a Regulated Environment,” Opal Group CLO Summit 2019, California, December 2019
- “Manager Tiering: Qualities that Make an Investor Swipe Right,” IMN 8th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2019
- “FAQ: Risk Retention Rules,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- “CLO 2.0,” Opal Financial Group CLO Summit 2018, Dana Point, Calif., November 2018
- “Manager Tiering: How are Investors Evaluating Manager Performance?” IMN 7th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2018
- “CLOs, Warehouse Facilities and Risk Retention Vehicles,” Schulte 27th Annual Private Investment Funds Seminar, New York, January 2018
- “CLO Markets in a Regulated Environment,” Opal Financial Group CLO Summit 2017, Dana Point, Calif., December 2017
- “Making Sense of Risk Retention Vehicles,” Creditflux CLO Investor Summit, New York, October 2017
- “U.S. Versus Europe: Risk Retention as a Political Football, and the Impact of Brexit,” IMN 6th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, May 2017
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2017
- “Financing for Funds and Managers,” Schulte 26th Annual Private Investment Funds Seminar, New York, January 2017
- “How to Construct a CLO,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2016
- “Collateralized Loan Obligations, A ‘101,’” IMN 5th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2016
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2016
- “Trading Compliance: Managing Regulatory Risk,” Schulte 25th Annual Private Investment Funds Seminar, New York, January 2016
- “CLO Markets in a Regulated Environment,” Opal Financial Group 3rd Annual CLO Summit, Carlsbad, Calif., December 2015
- “Changes in the Legal Documents/Terms/Negotiations,” How Banks and Alternative Asset Managers Need to Work Together to Manage Changes Post Basel III, Wells Fargo Seminar, New York, September 2015
- “Launching a CLO Platform: Assessing Strategy and Challenges,” IMN 4th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2015
- “Derivatives in Securitization,” NYCBA Current Issues in Securitization, New York, April 2015
- “Trading Compliance,” Schulte 24th Annual Private Investment Funds Seminar, New York, January 2015
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2014
- “Navigating Buy-side Risks and Best Practices for SEFs and Clearing,” Risk.net Derivatives OTC Clearing, New York, April 2014
- “Swaps Update: Segregation of Initial Margin for Uncleared Swaps,” Schulte Webinar, April 2014
- “Legal and Structural Considerations: How to Effectively Analyze a CLO,” IMN 3rd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2014
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, March 2014
- FEA Swaps Execution in the New Regulatory Environment, New York, March 2014
- “Swap Execution Facilities: The Onboarding Process,” Schulte Webinar, February 2014
- “CLO and Leveraged Loan Overview/CLOs — 101,” SFIG & IMN ABS Vegas, January 2014
- “CFTC and Derivatives Update,” Schulte 23rd Annual Private Investment Funds Seminar, New York, January 2014
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2013
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, November 2013
- “SEFs and Clearing in the US and EU: How to Prepare,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, November 2013
- “Trading Documentation: You Are Only as Strong as Your Weakest Link,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, October 2013
- “Documenting and Negotiating Prime Brokerage Agreements,” Financial Executives Alliance, New York, September 2013
- “CFTC U.S. Person Definition and the Scope of EMIR: The Impact on Hedge Fund Managers,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, September 2013
- “Trading and Finance,” Eze Castle Integration & KPMG Hedge Fund Launch 2.0: Navigating the New Environment, New York, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “Regulatory and Accounting Challenges and Hurdles,” IMN 2nd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2013
- “Investing in Corporate Credit,” Schulte 22nd Annual Private Investment Funds Seminar, New York, January 2013
- “CFTC Update: What Fund Managers Need to Know,” Schulte Investment Management Hot Topics, New York, October 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Regulatory and Accounting Challenges and Hurdles,” IMN 1st Annual CLO and Leveraged Loan Conference, New York, March 2012
- “Leverage for Investment Funds” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, New York, January 2012
- “Counterparty Risk Management,” New York Hedge Fund Networking Group Membership Meeting, New York, December 2011
- “The Return of CLOs: Changes That Matter to Managers and Investors,” Schulte Audio Conference Series, July 2011
- “The Impact of Derivatives Regulation on Private Funds,” Schulte 20th Annual Private Investment Funds Seminar, New York, January 2011
- “ISDA 2010 HIRE Act Protocol: What Fund Managers Need to Understand Before September 14, 2010,” Schulte Audio Conference Series, August 2010
- “Central Clearing of Derivatives: What Investment Managers Need to Know,” Schulte Investment Management Hot Topics, New York, June 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, New York, January 2010
- Moderator, “The 5 Most Important Points to Consider When Negotiating Master ISDA Agreements,” GAIM Ops Webinar, December 2009
- “How to Find the Right Prime Broker and Get the Most Out of It,” Reuters HedgeWorld Webinar, November 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Participating in Public-Private Investment Funds Sponsored by the U.S. Treasury and Updates on TALF,” Schulte Audio Conference Series, March 2009
- “Counterparty Insolvency, Defaults and the Nature of Ownership,” IBA’s 10th Annual International Conference on Private Investment Funds, London, March 2009
- “Accessing the Team Asset-Backed Securities Loan Facility (TALF) and the U.S. Treasury Proposal to Create a Public-Private Fund,” Schulte Audio Conference Series, March 2009
- “Counterparty Relationships,” Schulte 18th Annual Private Investment Funds Seminar, New York, January 2009
- “Loan Total Return Swaps,” Schulte Investment Management Hot Topics Seminar, New York, April 2008
- “Credit Default Swaps: Using the ISDA PAUG Dealer Forms for CDO and MBS,” ACA Negotiating and Tailoring ISDA Master Agreements & Confirmations, New York, March 2008
- “Developments in Structured Products & Derivatives,” Schulte 17th Annual Private Investment Funds Seminar, New York, January 2008
- Opal Financial Group CDO Summit, Dana Point, Calif., December 2007
- “CDS of ABS,” 13th Annual ABS East, Orlando, Fla., November 2007
- “Brokers, Counterparties and Derivatives: Managing the Risks,” Schulte Investment Management Hot Topics, New York, September 2007
- “Permanent Capital Investment Vehicles,” Schulte Cutting Edge Alternative Asset Management Deals Seminar, New York, July 2007
- Moderator, “CDS of ABS/MBS,” ABS East, Orlando, Fla., November 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2005
- “CDOs, Credit Derivatives and Synthetics: An Overview,” ABS East Conference, October 2004
- “Emerging Hedge Fund Issues,” Schulte Seminar, London, October 2003
- “Principal Protected Funds,” ABS East Conference, Ft. Lauderdale, Fla., October 2003
- “Determining the Direction of SWAPS and Other Derivative Products,” Institute for International Research Compliance For Hedge Funds Conference, New York, July 2003
- “Legal, Regulatory and Structuring Issues for All Types of Principal Protected Plans,” Innovative Principal Protected Investment Products Conference, Boston, January 2003
- “Credit Derivatives and Synthetic Structures,” Opal Financial Group Conference, Laguna Niguel, Calif., December 2002
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- International Swaps and Derivatives Association
- Loan Syndications and Trading Association
- Structured Finance Association
- Chambers Global
- Chambers USA
- The Legal 500 US
- Expert Guide to the World’s Leading Banking, Finance and Transactional Law Lawyers – Structured Finance and Securitisation
- Rogers & Wells
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide - Securitisation 2024, May 2024
- “SEC Adopts Final Rule to Prohibit Conflicts of Interest in Certain Securitizations,” Schulte Alert, Dec. 15, 2023
- “Relief for US CLOs After ‘Unexpected’ SEC Exemption,” GlobalCapital, Aug. 24, 2023 (quoted)
- “CLOs Excluded From SEC’s New Private Fund Advisers Rules,” Schulte Alert, Aug. 24, 2023
- “Refis to breathe life into US CLOs as Elmwood prices,” GlobalCapital, Aug. 15, 2023 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2023, May 2023
- “CLOs: Adding Flexibility to Engage in Liability Management Transactions,” Schulte Alert, Dec. 5, 2022
- “CLOs Face Higher Delinquencies, Say Managers,” GlobalCapital, Oct. 17, 2022 (quoted)
- “ESMA Template Reporting To Be Required for EU Institutions Which Invest in Non-EU Securitisations,” Schulte Alert, Oct. 13, 2022
- “CLO Monthly: New-Issue Recovers from August Lull at $13B Pace via 29 Deals,” LevFin Insights, Oct. 4, 2022 (quoted)
- “Administrative Burden,” Structured Credit Investor, July 15, 2022 (quoted)
- “U.S. and EU CLOs: Market Trends and Recent Regulatory Developments,” International Comparative Legal Guide to Securitisation 2022, May 2022
- “EBA Publishes Final Draft Risk Retention RTS,” Schulte Alert, April 21, 2022
- “CLOs and the Changing Landscape after COVID-19,” International Comparative Legal Guide to Securitisation 2021, May 2021
- “LIBOR Transition Update: New York State Legislature Passes LIBOR Transition Bill,” Schulte Alert, April 7, 2021
- “FCA Announces Dates LIBOR Settings Will Cease to Be Provided or Be Representative; ISDA Declares Index Cessation Event and Fixing of Spread Adjustment,” Schulte Alert, March 8, 2021
- “Collateralized Loan Obligations,” Securitizations: Legal and Regulatory Issues, Law Journal Press
- “LIBOR Transition: ICE Benchmark Administration to Consult on Intent to Cease Publishing USD LIBOR Rates as of Certain Dates; A Possible Temporary Reprieve for Some Rates,” Schulte Alert, Dec. 9, 2020
- “Regulated Funds: SEC Adopts New Rule Governing the Use of Derivatives by Registered Investment Companies and BDCs,” Schulte Alert, Nov. 9, 2020
- “CFTC Adopts Phase VI Compliance Date Extension for Initial Margin Compliance,” Schulte Alert, Oct. 29, 2020
- “LIBOR Transition: ISDA 2020 IBOR Fallbacks Protocol,” Schulte Alert, Oct. 29, 2020
- “Structural Change – New U.S. CLO docs anticipating Volcker,” Structured Credit Investor, July 15, 2020 (quoted)
- “Volcker Rule 2.0 – Impact of Final Rule on CLOs,” Schulte Alert, June 29, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Structural Hurdles – U.S. CLO Managers Face Restructuring Challenges,” Structured Credit Investor, June 18, 2020 (quoted)
- “CLOs and LIBOR Transition,” The International Comparative Legal Guide to: Securitisation 2020, Global Legal Group
- “LIBOR Transition Update: ARRC Publishes Best Practices,” Schulte Alert, May 28, 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “TALF 2.0: CLOs as Eligible Collateral,” Schulte Alert, May 13, 2020
- “TALF 2.0: Private Investment Funds as Eligible Borrowers,” Schulte Alert, May 13, 2020
- “Considerations for CLO Participants in Light of COVID-19,” Reorg, May 2020
- “Overnight LIBOR and SOFR Performance During the COVID-19 Crisis,” Schulte Alert, April 22, 2020
- “Uncleared Margin Rules: BCBS and IOSCO Grant One-Year Extension on Phase 5/6 Implementation,” Schulte Alert, April 3, 2020
- “New Term Asset-Backed Securities Loan Facility Established by Federal Reserve in Wake of COVID-19,” Schulte Alert, April 2, 2020
- “CFTC Update: Limited Relief on Uncleared Margin Requirements,” Schulte Alert, March 19, 2020
- “Private Funds Guidance – Considerations During Volatile Markets for Hedge Funds and Credit, Direct Lending and Distressed Funds (COVID-19),” Schulte Publication, March 16, 2020
- “Short-Selling – Update –Belgium, France, Greece and Italy,” Schulte Alert, March 18, 2020
- “CLO Guidance – The Impact of COVID-19 – Considerations for Managers of Collateralized Loan Obligations,” Schulte Alert, March 17, 2020
- “Short-Selling – Belgium, France, Italy and Spain Announce Short-Selling Bans,” Schulte Alert, March 17, 2020
- “Trading Agreements – Buy-Side Considerations (COVID-19),” Schulte Alert, March 17, 2020
- “Short-Selling – ESMA Lowers Thresholds for Reporting to 0.1%,” Schulte Alert, March 16, 2020
- “Regulatory Agencies Request Comments on Proposed Amendments to the Volcker Rule Which Will Affect Collateralized Loan Obligations,” Schulte Alert, Jan. 31, 2020
- “CLOs in the Current Regulatory Environment,” The International Comparative Legal Guide to: Securitisation 2019, Global Legal Group, co-author
- Hedge Funds: Formation, Operation and Regulation, ALM Law Journal Press, co-author; Full Court Press, 2022, co-author
- “U.S. CLOs: The End of U.S. Risk Retention for Collateral Managers?” The International Comparative Legal Guide to: Securitisation 2018, Global Legal Group, co-author
- “What is Magic Johnson Doing With These Chicago Investors?” Crain’s Chicago Business, Sept. 16, 2017 (quoted)
- “Current Issues in the CLO Market: As of February 2017,” The International Comparative Legal Guide to: Securitisation 2017, Global Legal Group, April 2017, co-author
- “New EMIR Variation Margin Requirements,” Schulte Alert, Feb. 28, 2017, co-author
- “U.S. CLOs: Past and Present,” The Journal of Structured Finance, Summer 2016
- “CLOs and Risk Retention in the U.S. and EU: Complying with the Rules,” The International Comparative Legal Guide to: Securitisation 2016 , Global Legal Group, April 2016, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps,” The Hedge Fund Journal, November 2015, co-author
- “U.S. Regulators Adopt Final Rule on Margin Requirements for Non-Cleared Swaps – What Investment Managers Need to Know,” Schulte Alert, Nov. 9, 2015, co-author
- “New Margin Requirements for Uncleared Swaps,” Harvard Business Law Review Online, Vol. 5, 2015, co-author
- “CLOs and Risk Retention,” The International Comparative Legal Guide to: Securitisation 2015, Global Legal Group, co-author
- “New 2014 ISDA Credit Derivatives Definitions to Go into Effect – Protocol Adherence Period Open,” Schulte Alert, Sept. 8, 2014, co-author
- “CLO 3.0: The Impact of Regulations,” The International Comparative Legal Guide to: Securitisation 2014, Global Legal Group, co-author
- “Swaps Update: Packaged Transaction Relief Extended for Certain Transactions,” Schulte Alert, May 5, 2014, co-author
- “Swaps Update: ‘Triangular Setoff’ Held Unenforceable in Bankruptcy Cases,” Schulte Alert, Feb. 13, 2014, co-author
- “CFTC SEF Update,” Schulte Alert, Feb. 11, 2014, co-author
- “Swaps Update: Mandatory Trading on SEFs Commences February 15 for Certain Interest Rate Swaps,” Schulte Alert, Jan. 28, 2014, co-author
- “CFTC Defers Effectiveness of Oral Recording Requirements for Registered Commodity Trading Advisors Holding SEF Memberships,” Schulte Alert, Dec. 23, 2013, co-author
- “Derivatives Update: ESMA Announces the Approval of Trade Repositories and Central Reporting Obligation Date,” Schulte Alert, Nov. 13, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” The Hedge Fund Journal, June 2013, co-author
- “CFTC Update: Certain Equity Total Return Swaps to Count Toward De Minimis Exemption Starting July 1,” Schulte Alert, June 18, 2013, co-author
- “The New ISDA Protocol: What Investment Managers Need to Know,” Schulte Alert, June 12, 2013, co-author
- “Reminder: Swaps Compliance Dates for Commodity Pool Operators and Investment Fund Managers,” Schulte Alert, May 31, 2013, co-author
- “CFTC Grants Temporary Relief for FX and Swaps Prime Brokerage Arrangements: Context for Private Fund Managers and Other Investment Advisers,” Schulte Alert, May 6, 2013, co-author
- “Margin Costs of OTC Swap Clearing Rules,” 3 Harv. Bus. L. Rev. Online 152, 2013, co-author
- “CLOs: An Expanding Platform,” The International Comparative Legal Guide to: Securitisation 2013 , Global Legal Group, April 2013, co-author
- “Collateralized Loan Obligations: What to Expect When You Are Expecting Your First CLO,” The Hedge Fund Journal, March 2013, co-author
- “SWAPS UPDATE: Investment Fund Deadline for Swap Data Reporting, Recordkeeping and CICIs Is April 10,” Schulte Alert, March 21, 2013, co-author
- “ISDA to Publish Second Addendum to the August 2012 Protocol,” Schulte Alert, Feb. 28, 2013, co-author
- “Update for Swap Counterparties: ISDAs Dodd-Frank Protocol – Addition of Addendum I,” Schulte Alert, Oct. 5, 2012, co-author
- “ISDA Publishes Tri-party IA Notices for the Custody of Collateral for OTC Swap Counterparties,” Schulte Alert, Sept. 4, 2012, co-author
- “Update for Swap Counterparties: New Web Portal Launched to Assign CFTC Interim Compliant Identifiers,” Schulte Alert, Aug. 23, 2012, co-author
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012, co-author
- “Eurozone Crisis: ISDA Publishes the Illegality/Force Majeure Protocol,” Schulte Alert, July 12, 2012, co-author
- “SEC and CFTC Publish Entity Rule Definitions: Impact on Private Investment Funds,” Schulte Alert, May 22, 2012, co-author
- “New Structural Features for Collateralised Loan Obligations,” The International Comparative Legal Guide to: Securitisation 2012 (Global Legal Group), April 2012, co-author
- “CFTC Publishes Final Rule on Collateral Segregation for Cleared Swaps,” Schulte Alert, March 8, 2012, co-author
- “CFTC Publishes Final Swap Data Rules and Real-Time Reporting Rule,” Schulte Alert, Feb. 1, 2012, co-author
- “Case Study: ZING VII,” Law360, Jan. 26, 2012, co-author
- “Bankruptcy Court Approves Plan to Liquidate CDO,” Schulte Alert, Jan. 19, 2012, co-author
- “Zais Investment Grade Limited VII — CDO Noteholders Take Advantage of Chapter 11,” Schulte Alert, Oct. 3, 2011, co-author
- “SEC Proposal on Prohibition Against Conflicts of Interest in Certain Securitizations,” Schulte Alert, Sept. 22, 2011, co-author
- “Dodd Frank – One Year On,” VC Experts, September 2011, co-author
- “Dodd Frank – One Year On,” International Financial Law Review, August 2011, co-author
- “On the CLO Horizon – Regulations Expected to Impact CLOs,” The International Comparative Legal Guide to: Securitisation 2011, Global Legal Group, May 2011, co-author
- “CFTC Proposes to Discontinue Widely-Used Registration Exemptions,” Schulte Alert, March 10, 2011, co-author
- “Swap Market Regulation: New Rules for Dealers and Major Participants Proposed by CFTC and SEC,” Schulte Memorandum, Jan. 7, 2011, co-author
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, September 2010, co-author
- “What the Changes Really Mean,” International Financial Law Review Derivatives Guide, July/August 2010, co-author
- “New Bullet LCDS Contract Replaces Cancellable Contract,” Pratt’s Journal of Bankruptcy Law, Volume 6, No. 4, June 2010, co-author
- “Lehman Brothers Court: Waterfall Subordination Provisions Unenforceable in Bankruptcy,” Pratt’s Journal of Bankruptcy Law, Vol. 6 No. 2, February/March 2010
- “Negative Basis Trade Basics,” Derivatives Week, November 17, 2006
- “Credit Default Swaps on Asset-Backed Securities,” Credit, November 2002
- “CDOs 101: Everything You Wanted to Know But Were Afraid to Ask,” Loan Market Week, Nov. 18, 2002
- “Structured Hedge Fund Products,” Schulte Investment Management Developments, October 2002
- “Four Forms of Synthetic CDOs,” Derivatives Week, June 10, 2002
- “CLO Manager Roundtable,” The Opal Group CLO Summit 2023, December 2023
- “Fund Finance,” Schulte Private Capital Conversations, July 2023
- “Comparing CLO Managers,” The Annual CLO Industry Conference, May 2023
- “SEC Securitization Proposal: First Look,” Managed Funds Association Webinar, March 2023
- “How to Construct a CLO: Building a Portfolio and Negotiating Documents,” The Opal Group CLO Summit 2022, December 2022
- “CLO Manager Roundtable,” 28th Annual ABS East Conference, October 2022
- “Fund Finance,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “US CLOs: 2021 Year-End Debrief,” European Leveraged Finance Association, December 2021
- Opal Financial Group's CLO Market Outlook Summit, May 2021
- “LIBOR Transition” and “Finance Strategies and Structures,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Managers Roundtable,” Opal Group CLO Summit 2020, December 2020
- “LIBOR: Going, Going, GONE!,” 13th Annual Alternative Asset Valuation Symposium, November 2020
- “Fund Finance and Structured Finance,” Schulte Webinar, October 2020
- MFA Chief Compliance Officer Forum Videoconference, July 2020
- “U.S. Manager Roundtable,” Opal Group CLO Market Outlook Forum 2020, June 2020
- “CLO Considerations for Distressed Investors,” Schulte and Reorg Webinar, April 2020
- “CLO Markets in a Regulated Environment,” Opal Group CLO Summit 2019, California, December 2019
- “Manager Tiering: Qualities that Make an Investor Swipe Right,” IMN 8th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2019
- “FAQ: Risk Retention Rules,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- “CLO 2.0,” Opal Financial Group CLO Summit 2018, Dana Point, Calif., November 2018
- “Manager Tiering: How are Investors Evaluating Manager Performance?” IMN 7th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2018
- “CLOs, Warehouse Facilities and Risk Retention Vehicles,” Schulte 27th Annual Private Investment Funds Seminar, New York, January 2018
- “CLO Markets in a Regulated Environment,” Opal Financial Group CLO Summit 2017, Dana Point, Calif., December 2017
- “Making Sense of Risk Retention Vehicles,” Creditflux CLO Investor Summit, New York, October 2017
- “U.S. Versus Europe: Risk Retention as a Political Football, and the Impact of Brexit,” IMN 6th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, May 2017
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2017
- “Financing for Funds and Managers,” Schulte 26th Annual Private Investment Funds Seminar, New York, January 2017
- “How to Construct a CLO,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2016
- “Collateralized Loan Obligations, A ‘101,’” IMN 5th Annual Investors’ Conference on CLOs & Leveraged Loans, New York, May 2016
- “CLOs and Leveraged Loans 101,” SFIG & IMN ABS Vegas, Las Vegas, February/March 2016
- “Trading Compliance: Managing Regulatory Risk,” Schulte 25th Annual Private Investment Funds Seminar, New York, January 2016
- “CLO Markets in a Regulated Environment,” Opal Financial Group 3rd Annual CLO Summit, Carlsbad, Calif., December 2015
- “Changes in the Legal Documents/Terms/Negotiations,” How Banks and Alternative Asset Managers Need to Work Together to Manage Changes Post Basel III, Wells Fargo Seminar, New York, September 2015
- “Launching a CLO Platform: Assessing Strategy and Challenges,” IMN 4th Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2015
- “Derivatives in Securitization,” NYCBA Current Issues in Securitization, New York, April 2015
- “Trading Compliance,” Schulte 24th Annual Private Investment Funds Seminar, New York, January 2015
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2014
- “Navigating Buy-side Risks and Best Practices for SEFs and Clearing,” Risk.net Derivatives OTC Clearing, New York, April 2014
- “Swaps Update: Segregation of Initial Margin for Uncleared Swaps,” Schulte Webinar, April 2014
- “Legal and Structural Considerations: How to Effectively Analyze a CLO,” IMN 3rd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2014
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, March 2014
- FEA Swaps Execution in the New Regulatory Environment, New York, March 2014
- “Swap Execution Facilities: The Onboarding Process,” Schulte Webinar, February 2014
- “CLO and Leveraged Loan Overview/CLOs — 101,” SFIG & IMN ABS Vegas, January 2014
- “CFTC and Derivatives Update,” Schulte 23rd Annual Private Investment Funds Seminar, New York, January 2014
- “Legal and Regulatory,” Opal Financial Group CLO Summit, Dana Point, Calif., December 2013
- “Collateral Management and Margining,” ISDA OTC Derivatives Clearing Risk and Capital Conference, New York, November 2013
- “SEFs and Clearing in the US and EU: How to Prepare,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, November 2013
- “Trading Documentation: You Are Only as Strong as Your Weakest Link,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, October 2013
- “Documenting and Negotiating Prime Brokerage Agreements,” Financial Executives Alliance, New York, September 2013
- “CFTC U.S. Person Definition and the Scope of EMIR: The Impact on Hedge Fund Managers,” Schulte What the Buy-Side Needs to Know About Dodd-Frank Webinar Series, September 2013
- “Trading and Finance,” Eze Castle Integration & KPMG Hedge Fund Launch 2.0: Navigating the New Environment, New York, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “Regulatory and Accounting Challenges and Hurdles,” IMN 2nd Annual Investors’ Conference on CLOs and Leveraged Loans, New York, April 2013
- “Investing in Corporate Credit,” Schulte 22nd Annual Private Investment Funds Seminar, New York, January 2013
- “CFTC Update: What Fund Managers Need to Know,” Schulte Investment Management Hot Topics, New York, October 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Regulatory and Accounting Challenges and Hurdles,” IMN 1st Annual CLO and Leveraged Loan Conference, New York, March 2012
- “Leverage for Investment Funds” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, New York, January 2012
- “Counterparty Risk Management,” New York Hedge Fund Networking Group Membership Meeting, New York, December 2011
- “The Return of CLOs: Changes That Matter to Managers and Investors,” Schulte Audio Conference Series, July 2011
- “The Impact of Derivatives Regulation on Private Funds,” Schulte 20th Annual Private Investment Funds Seminar, New York, January 2011
- “ISDA 2010 HIRE Act Protocol: What Fund Managers Need to Understand Before September 14, 2010,” Schulte Audio Conference Series, August 2010
- “Central Clearing of Derivatives: What Investment Managers Need to Know,” Schulte Investment Management Hot Topics, New York, June 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, New York, January 2010
- Moderator, “The 5 Most Important Points to Consider When Negotiating Master ISDA Agreements,” GAIM Ops Webinar, December 2009
- “How to Find the Right Prime Broker and Get the Most Out of It,” Reuters HedgeWorld Webinar, November 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Participating in Public-Private Investment Funds Sponsored by the U.S. Treasury and Updates on TALF,” Schulte Audio Conference Series, March 2009
- “Counterparty Insolvency, Defaults and the Nature of Ownership,” IBA’s 10th Annual International Conference on Private Investment Funds, London, March 2009
- “Accessing the Team Asset-Backed Securities Loan Facility (TALF) and the U.S. Treasury Proposal to Create a Public-Private Fund,” Schulte Audio Conference Series, March 2009
- “Counterparty Relationships,” Schulte 18th Annual Private Investment Funds Seminar, New York, January 2009
- “Loan Total Return Swaps,” Schulte Investment Management Hot Topics Seminar, New York, April 2008
- “Credit Default Swaps: Using the ISDA PAUG Dealer Forms for CDO and MBS,” ACA Negotiating and Tailoring ISDA Master Agreements & Confirmations, New York, March 2008
- “Developments in Structured Products & Derivatives,” Schulte 17th Annual Private Investment Funds Seminar, New York, January 2008
- Opal Financial Group CDO Summit, Dana Point, Calif., December 2007
- “CDS of ABS,” 13th Annual ABS East, Orlando, Fla., November 2007
- “Brokers, Counterparties and Derivatives: Managing the Risks,” Schulte Investment Management Hot Topics, New York, September 2007
- “Permanent Capital Investment Vehicles,” Schulte Cutting Edge Alternative Asset Management Deals Seminar, New York, July 2007
- Moderator, “CDS of ABS/MBS,” ABS East, Orlando, Fla., November 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2006
- Opal Financial Group CDO Summit, Laguna Niguel, Calif., December 2005
- “CDOs, Credit Derivatives and Synthetics: An Overview,” ABS East Conference, October 2004
- “Emerging Hedge Fund Issues,” Schulte Seminar, London, October 2003
- “Principal Protected Funds,” ABS East Conference, Ft. Lauderdale, Fla., October 2003
- “Determining the Direction of SWAPS and Other Derivative Products,” Institute for International Research Compliance For Hedge Funds Conference, New York, July 2003
- “Legal, Regulatory and Structuring Issues for All Types of Principal Protected Plans,” Innovative Principal Protected Investment Products Conference, Boston, January 2003
- “Credit Derivatives and Synthetic Structures,” Opal Financial Group Conference, Laguna Niguel, Calif., December 2002
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- International Swaps and Derivatives Association
- Loan Syndications and Trading Association
- Structured Finance Association
- Chambers Global
- Chambers USA
- The Legal 500 US
- Expert Guide to the World’s Leading Banking, Finance and Transactional Law Lawyers – Structured Finance and Securitisation
- Rogers & Wells
