Bar Admissions
- New York
Court Admissions
- US Supreme Court, 1995
- US Court of Appeals, Fourth Circuit, 1995
- US Court of Appeals, Sixth Circuit, 1995
- US Court of Appeals, Ninth Circuit, 1996
- US District Court, Eastern District of New York, 1991
- US District Court, Southern District of New York, 1991
Education
- New York University School of Law, JD
- Wesleyan University, BA
- with honors
Marc E. Elovitz
Partner
Schulte’s co-managing partner, member of the firm’s Executive Committee and co-chair of the Investment Management Regulatory & Compliance Group. Advises private fund managers on running their businesses consistent with the Investment Advisers Act of 1940 and all other applicable laws, regulations and legal requirements.
Marc’s cutting-edge work covers the latest trends of interest to private funds, including blockchain technology and digital assets. He advises on the legal and regulatory considerations involving virtual and digital currency business initiatives and the blockchain technology behind them.
He also develops new compliance testing programs in areas such as trade allocations and conflicts of interest, and leads macro-level compliance infrastructure reviews with fund managers, identifying the material risks specific to each particular firm and evaluating the compliance programs in place to address those risks.
Marc works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He provides guidance on SEC registration, examination and enforcement matters.
Marc regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws. He has also developed and led compliance training sessions for marketing and investor relations professionals.
As a speaker, Marc is frequently invited to discuss current industry-related topics of interest at leading professional and trade association events. He has presented on whistleblowing, regulatory and compliance issues for private funds and SEC inspections and examinations of hedge funds and private equity funds, among many other topics.
Marc has been a member of the Steering Committee of the Managed Funds Association’s Outside Counsel Forum, the American Bar Association’s Hedge Funds Subcommittee and the Private Investment Funds Committee of the New York City Bar Association.
A recognized thought leader, he is regularly interviewed by leading media outlets, including Bloomberg, HFMWeek, HFM Compliance, Compliance Reporter, IA Watch, Private Funds Management and Law360, to name a few.
Marc is a co-author of:
- Hedge Funds: Formation, Operation and Regulation (Full Court Press)
- the “Protecting Firms Through Policies and Procedures, Training, and Testing” chapter in the Insider Trading Law and Compliance Answer Book (Practising Law Institute)
- the “Market Manipulation” chapter in the leading treatise Federal Securities Exchange Act of 1934 (Matthew Bender)
He also wrote the chapter on “The Legal Basis of Investment Management in the U.S.” for The Law of Investment Management (Oxford University Press).
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“5 SEC commissioners head to Capitol Hill,” Pensions & Investments, October 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules,” The Wall Street Journal, June 5, 2024 (quoted)
- “SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings to Date,” Schulte Alert, May 28, 2024
- “Marketing Rule FAQ – Impact of Subscription Lines of Credit on Presentation of Net IRRs” Schulte Alert, March 7, 2024
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“Has Gensler’s SEC pushed Wall Street too far?” Financial Times, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “Wall Street Braces for More SEC Scrutiny of AI, Private Funds,” Bloomberg Law, Dec. 28, 2023 (quoted)
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “‘They Didn't Blow Up the World’: Big Law Reacts to New SEC Fund Rules,” The American Lawyer, Aug. 24, 2023 (quoted)
- “Private fund industry prepares for battle over sweeping US rules,” Financial Times, Aug. 18, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?," Schulte Alert, Aug. 2, 2023
- “Loan market breathes sigh of relief as SEC declines to comment on Kirschner case,” Creditflux, July 24, 2023 (quoted)
- “Market relieved after SEC declines to weigh in on loan securities court case,” Refinitiv Loan Connector, July 20, 2023 (quoted)
- CNBC Delivering Alpha Newsletter, July 7, 2023 (quoted)
- “SEC seeks rule change that could cause fund managers to take less risk,” CNBC, July 7, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “Get to the Point (of Sale): Client-Facing Possibilities for Law Firm Professional Staff,” LawVision, June 12, 2023 (quoted)
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “'A Juggernaut of Rules' as Hedge Funds Brace for SEC Scrutiny in '23,” FundFire, Dec. 21, 2022 (quoted)
- “Big Law Leader Calls For More Inclusive Policies Around Business Professionals,” The American Lawyer, Dec. 1, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- “Cracking Down on a Wall Street Trend: E.S.G. Makeovers,” DealBook Morning Newsletter (The New York Times), Sept. 17, 2022 (quoted)
- “SEC's New Hedge Fund Proposal Leaves Some Wary Of Hacks,” Law360, Aug. 16, 2022 (quoted)
- “Voya Financial’s Acquisition of Czech Asset Management,” Global Legal Chronicle, Aug. 9, 2022 (featured)
- “Schroders’ Acquisition of a Minority Stake in Forteus,” Global Legal Chronicle, Aug. 8, 2022 (featured)
- Securities Enforcement Quarterly, Schulte Publication, August 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Wall Street's Lawyers Attack SEC Effort to Crush Greenwashing,” Bloomberg, June 1, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Proposal to Redefine the Definition of ‘Dealer’ Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “Private Capital, Investment Management Fuel Strong Bounceback Year for Schulte,” The American Lawyer, April 6, 2022
- "DOL Compliance Guidance on Plan Investments in Digital Assets," Schulte Alert, March 16, 2022
- "SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- "SEC Proposes New Rules for Private Fund Managers," Schulte Alert, Feb. 9, 2022
- "SEC Proposes Substantial Increases to Form PF Reporting," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022
- Securities Enforcement Quarterly, Schulte Publication, Jan. 2022
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021; republished in Law360, Nov. 30, 2021
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, Nov. 2021
- “NFA Excludes Certain Remote Work Arrangements From Its Branch Office Definition,” Schulte Alert, Oct. 7, 2021
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- “SEC Charges Novel Insider Trading Case and Shines a Spotlight on ‘Shadow Trading,’” Schulte Alert, Aug. 19, 2021
- “Reminder: NFA Member Managers and Virtual Currency Disclosures,” Schulte Alert, Aug. 4, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- “SEC Focus on Private Fund Valuation Practices,” Reuters Westlaw, May 11, 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Recent Short Squeezes,” Schulte Alert, Jan. 28, 2021
- “Unique Issues With Fully Remote OCIE Exams, and How Sponsors Can Withstand the Agency’s Focus on Alternative Data (Part One of Two),” Private Equity Law Report, Dec. 8, 2020 (quoted)
- “New SEC Guidance on Compliance Responsibilities of Fund Managers and Chief Compliance Officers,” Schulte Alert, Nov. 23, 2020
- “Private Funds Regulatory Update,” Schulte Update, Nov. 2020
- “Private Funds Regulatory Update,” Schulte Update, Oct. 2020
- “Private Funds — Market Trends Report,” Schulte Publication, Oct. 2020
- “SEC Proposes Limited Exemption for Finders,” Schulte Alert, Oct. 9, 2020
- “How Fund Managers Can Prepare for SEC Remote Examinations During the Coronavirus Pandemic,” Private Equity Law Report, Sept. 1, 2020 (quoted)
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2020; republished in The Hedge Fund Journal, Sept. 2020
- “Hedge Fund Surveillance Issues Mount as Regulators Renew Focus,” FT FundFire, Aug. 19, 2020 (quoted)
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, Aug. 17, 2020; republished in Law360, Aug. 27, 2020
- “Private Funds Regulatory Update,” Schulte Update, July 2020
- “SEC Identifies Private Fund Deficiencies: Conflicts of Interest, Fees and Expenses, and MNPI Controls,” Schulte Alert, June 30, 2020; republished in the Harvard Law School Forum on Corporate Governance, July 27, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Supreme Court Limits Disgorgement in SEC Enforcement Actions,” Schulte Alert, June 23, 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “At Schulte Roth, COVID-19 Pandemic Accelerates New Leadership Goals,” New York Law Journal, May 11, 2020
- “Private Funds Regulatory Update,” Schulte Update, May 2020
- “SEC Form CRS: OCIE Announces Examination Focus,” Schulte Alert, April 10, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “Regulatory Update – Limited SEC Form ADV and PF Filing Relief Now Extended to June 30, 2020,” Schulte Alert, March 30, 2020
- “Private Funds – Ideas for Raising New Capital During the COVID-19 Dislocation,” Schulte Publication, March 26, 2020; republished in The Hedge Fund Journal, May 2020
- “Enforcement Update: Insider Trading and COVID-19 Political Intelligence,” Schulte Alert, March 25, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “SEC Update: New FAQs on ADV and Custody Rule Issues (COVID-19),” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “Form ADV – Coronavirus Update for Private Fund Managers – Limited SEC Form ADV and Form PF Filing Relief,” Schulte Alert, March 15, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “Protecting Firms Through Policies and Procedures, Training, and Testing,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2020
- “Sanctions Update: DOJ Revises Voluntary Self-Disclosure Policy for Export Control and Sanctions Violations,” Schulte Alert, Jan. 2, 2020
- “Private Funds Regulatory Update – CFTC Regulatory Roundup,” Schulte Update, Dec. 2019
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC’s Disgorgement Authority Under Review,” Schulte Alert, Nov. 22, 2019
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Memorandum, Nov. 2019
- “SEC Proposes Advertising and Cash Solicitation Rules Overhaul,” Schulte Alert, Nov. 6, 2019 (co-author); republished in The Hedge Fund Journal, Nov./Dec. 2019
- “SEC Final Interpretation of IA Standard of Conduct,” Schulte Update republished in The Hedge Fund Journal, Oct. 2019
- “The SEC’s Focus on Value-Added Investors,” The Hedge Fund Journal, Sept. 2019
- “The Darlings of Hedge Funds, Despite the Rhetoric,” HFMWeek, Sept. 11, 2019
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2019
- “Best Practices for Hedge Fund Managers to Mitigate the Conflicts Arising From Managed Accounts: Dealing With Enhanced Transparency and Liquidity (Part Two of Three),” Hedge Fund Law Report, July 25, 2019 (quoted)
- “Why Managed Accounts Present Conflicts of Interests for Hedge Fund Managers (Part One of Three),” Hedge Fund Law Report, July 18, 2019 (quoted)
- “SEC advertising rule: Getting the word out,” HFM Compliance, July 3, 2019 (quoted)
- “FinCEN Assesses Civil Money Penalty Against P2P Currency Exchanger for BSA Violations,” Schulte Alert, April 26, 2019 (co-author)
- “SEC Charges Fund Manager for Improper Cross Trades,” Schulte Alert, April 8, 2019
- “SEC Publishes First-Ever No-Action Letter for a Cryptocurrency Enterprise and a Framework for when a Cryptocurrency Is a Security,” Schulte Alert, April 10, 2019 (co-author)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2013-2018; (Full Court Press), 2022 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute) (contributor)
- “SEC Charges Hedge Fund Manager with Short-and-Distort Scheme,” Schulte Alert, Sept. 14, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “OCIE Best Execution Risk Alert: Guidance and Lessons for Private Fund Managers,” Schulte Alert, July 24, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “SEC Proposes Investment Adviser Standards of Conduct and Enhanced Regulation,” Schulte Alert, April 19, 2018
- “OCIE Issues Risk Alert on Fees and Expenses,” Schulte Alert, April 17, 2018
- “Regulation of Market Manipulation,” Federal Securities Exchange Act of 1934, March 2018
- “Cross-Border Implementation of MiFID II Research Provisions – SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance,” Schulte Alert, Oct. 31, 2017; republished in The Hedge Fund Journal, Oct. 2017
- “LabCFTC Releases Primer on Virtual Currencies,” Schulte Alert, Oct. 18, 2017
- “Sovereign Immunity Implications for Investment Advisers,” Compliance Corner, Oct. 2017
- “Second Circuit, in Split Decision, Overrules Limitation on Insider Trading Liability Established in U.S. v. Newman,” Schulte Alert, Aug. 28, 2017 (co-author); republished in The Hedge Fund Journal, Sept. 2017
- “Best Practices for Hedge Fund Managers Preparing for an SEC Examination,” Hedge Fund Legal & Compliance Digest, Aug. 2017 (co-author)
- “Managing Conflicts,” Private Funds Management, May 2017 (interview)
- “New Form ADV: The Impact on Private Fund Advisers,” Schulte Alert, Sept. 19, 2016; republished in The Hedge Fund Journal, Sept. 2016
- “Complying on Pay-To-Play: Tips for CCOs,” Compliance Reporter, May 19, 2016; republished in Fund Operations, July 5, 2016
- “Securities, Futures Regulators Increase Scrutiny, Expectations on Cybersecurity,” Bloomberg Brief | Financial Regulation, Oct. 23, 2015 (co-author)
- “Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” Schulte Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, Nov. 2015
- “CFTC’s Position on Bitcoin – and What It Means,” Law360, Sept. 25, 2015 (co-author)
- “Schulte Submits Commentary on SEC ADV & IAA Proposals – Concerns Over Consistency and Confidentiality,” The Hedge Fund Journal, Sept. 2015 (interview)
- “Cybersecurity Update: Takeaways from OCIE’s Examination Initiative and the NFA’s Rulemaking Proposal,” Schulte Alert, Sept. 21, 2015 (co-author)
- “CFTC Determines That Bitcoin and Other Virtual Currencies Are Commodities,” Schulte Alert, Sept. 18, 2015 (co-author)
- “The New AML Rules: Implications for Private Fund Managers,” Schulte Alert, Sept. 8, 2015 (co-author); republished in The Hedge Fund Journal, Sept. 24, 2015
- “SEC Examinations of Private Fund Advisers,” The Review of Securities & Commodities Regulation, June 17, 2015
- “The Impact of United States v. Newman on the Use by Investment Advisers of Information Resources,” The Investment Lawyer, June 2015 (co-author)
- “Q&A: Legal Defences,” HFMTechnology, May 2015 (interview)
- “Proactively Addressing Hedge Fund Cybersecurity Risks,” The Hedge Fund Journal, May 2015 (interview)
- “New SEC Cybersecurity Guidance: What It Means for Fund Managers,” Schulte Alert, May 4, 2015 (co-author); republished in The Hedge Fund Journal, June/July 2015
- “SEC Whistleblower Case Challenges Restrictive Language in Confidentiality Agreements,” Schulte Alert, April 10, 2015 (co-author)
- “SEC Cybersecurity Update: OCIE Risk Alert Provides Insights for Private Fund Managers on SEC Cybersecurity Examinations,” Schulte Alert, Feb. 4, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit,” Schulte Alert, Jan. 27, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Second Circuit Clarifies Insider Trading Liability of Tippees,” Schulte Alert, Dec. 15, 2014 (co-author); republished in The Hedge Fund Journal, Jan. 2015
- “JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” Schulte Alert, Sept. 11, 2014 (co-author); republished in The Hedge Fund Journal, Sept. 2014
- Schulte Insider Trading Developments Newsletter, Summer 2014 (contributor)
- “‘Knowledgeable Employees’ – Recent SEC Guidance Also Details Broker-Dealer Registrations,” The Hedge Fund Journal, March 31, 2014 (co-author)
- “Recent SEC Guidance on ‘Knowledgeable Employees’ and Broker-Dealer Registration,” Schulte Alert, Feb. 25, 2014 (co-author)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “SEC Releases ‘Bad Actor’ Rule Guidance,” Schulte Alert, Dec. 11, 2013 (co-author)
- “Reminder for Fund Managers on the November 20 Identity Theft Red Flags Rules Deadline,” Schulte Alert, Nov. 6, 2013 (co-author)
- “SEC Confirmation on ‘Soft Dollars’ Safe Harbour,” The Hedge Fund Journal, Nov. 4, 2013 (co-author)
- “SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) ‘Soft Dollars’ Safe Harbor,” Schulte Alert, Oct. 29, 2013 (co-author)
- “Reminder for Private Fund Managers: New Form D Is In Effect,” Schulte Alert, Oct. 3, 2013 (co-author)
- “How CCOs Can Prepare a Custody Rule Review,” Compliance Reporter, Sept. 23, 2013 (co-author)
- “SEC Custody Rule Update for Private Fund Managers,” Schulte Alert, Aug. 15, 2013 (co-author)
- “The Long View: Is US Regulation a New Bubble or a ‘New Normal’?,” HFMWeek, Aug. 14, 2013
- “The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers,” Schulte Alert, July 24, 2013 (co-author)
- “SEC Enforcement Division Increases the Pace of Rule 105 Investigations,” Schulte Alert, June 28, 2013 (co-author)
- “The Long View: On Hedge Fund Marketing,” HFMWeek, April 25, 2013
- "The SEC's New 'Presence Exams,'" The Investment Lawyer, Dec. 2012 (co-author)
- “The Long View: Why Working Through Every Item on an Extensive Checklist May Obscure the Bigger Risks – Particularly Conflicts of Interest,” HFMWeek, Nov. 21, 2012 (co-author)
- “SEC Announces ‘Presence Exams’ for Newly-Registered Investment Advisers,” Schulte Alert, Oct. 9, 2012 (co-author)
- “The Long View: How Hedge Fund Advertising Has Been Impacted by the JOBS Act,” HFMWeek, Aug. 23, 2012 (co-author)
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012 (co-author)
- “EEOC Issues New Guidance Regarding Applicants and Employees with Criminal Records,” Schulte Alert, June 12, 2012 (co-author)
- “The Long View: U.S. Regulation of Private Fund Managers, Beyond Dodd-Frank,” HFMWeek, May 8, 2012 (co-author)
- “FSOC Issues Final Rule on Designating Nonbanks as ‘Systemically Important’ – What Private Fund Managers Need to Know,” Schulte Alert, April 12, 2012 (co-author)
- “Registration of Investment Advisory Affiliates,” The Harvard Law School Forum on Corporate Governance and Financial Regulation, Feb. 24, 2012 (co-author)
- “The Long View: An Overview of the Key Pieces of U.S. Regulation Set to Impact Private Fund Managers in 2012,” HFMWeek, Feb. 2, 2012 (co-author)
- “CFTC Finalizes Significant Rule Changes Affecting Fund Managers and Investment Companies,” Schulte Alert, Feb. 10, 2012 (co-author)
- “SEC Staff Issues Guidance on Registration of Investment Advisory Affiliates,” Schulte Alert, Jan. 23, 2012 (co-author)
- “Final Rules for the Private Fund Investment Advisers Registration Act of 2010,” Schulte Memorandum, Aug. 8, 2011 (co-author)
- “Expert Networks: New Commentary by SEC Officials About Insider Trading,” Schulte Alert, March 25, 2011 (co-author)
- “Government Ratchets Up Investigation Into Insider Trading Involving Expert Networks,” Schulte Alert, Dec. 17, 2010 (co-author)
- “Insider Trading Update – SEC v. Cuban,” Schulte Alert, Sept. 22, 2010
- “SEC Investigations After Dodd-Frank: A Primer for Hedge Fund Managers and Their In-House Counsel,” Schulte Alert, Sept. 7, 2010
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, Sept. 2010 (co-author)
- “Financial Crisis Inquiry Commission Sends Out Hedge Fund Industry Market Risk Survey,” Schulte Alert, June 25, 2010
- “Financial Regulatory Reform: Key Issues for Private Fund Managers,” Schulte Alert, May 18, 2010
- “New Regulatory Scrutiny of Communications Among Hedge Fund Managers,” Schulte Alert, March 11, 2010
- “Update on Privacy Requirements Affecting Private Investment Fund Managers,” Schulte Memorandum, Feb. 26, 2010
- “SEC Adopts New Short-Selling Restrictions,” Schulte Alert, Feb. 25, 2010
- “Analysis of the SEC’s New Amendments to the Custody Rule,” Schulte Memorandum, Feb. 1, 2010
- “Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management for the Securities Industry, Sept.-Oct. 2009
- “SEC Proposes ‘Pay to Play’ Prohibitions,” Schulte Alert, Aug. 13, 2009
- “Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” Schulte Memorandum, July 30, 2009
- “Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” Schulte Memorandum, June 4, 2009
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2009
- “FSA Confirms Relaxation of Ban on Short Selling; Retains Disclosure Obligation,” Schulte Alert, Jan. 14, 2009
- “FSA Proposes to Relax Ban on Short Selling but Retain Disclosure Obligation,” Schulte Alert, Jan. 6, 2009
- “SEC Form SH Filing Notice,” Schulte Alert, Dec. 24, 2008
- “FSA Clarifies Short Sale Disclosure Requirements,” Schulte Alert, Oct. 31, 2008
- “Update on SEC Form SH Filing Requirements,” Schulte Alert, Oct. 23, 2008
- “SEC Extends Emergency Orders,” Schulte Alert, Oct. 3, 2008
- “Registered Investment Advisers Required to Provide Notifications of Changes to Custody Arrangements,” Schulte Alert, Sept. 30, 2008
- “SEC Issues Guidance on Form SH,” Schulte Alert, Sept. 26, 2008
- “FSA Clarifies Short Sale Prohibition and Disclosure Requirements,” Schulte Alert, Sept. 25, 2008
- “SEC Amends Emergency Order Banning Short Sales of Financial Firm Securities,” Schulte Alert, Sept. 23, 2008
- “SEC Announces ‘Sweeping Expansion’ of Its Investigation of Short Selling by Hedge Funds and Other Market Participants; Will Include Subpoenas and Require Statements Under Oath About Activity/Positions in Financial Services Company Stocks and Credit Default Swaps. NYSE Regulation and FINRA Conduct Parallel Inquiry Through Onsite Visits to Broker-Dealers,” Schulte Alert, Sept. 22, 2008
- “SEC Bans Short Selling and Imposes New Disclosures,” Schulte Alert, Sept. 19, 2008
- "FSA Bans Short Selling in Financial Stocks and Requires Daily Short-Position Disclosures,” Schulte Alert, Sept. 19, 2008
- “SEC Adopts New Short Sale Rules,” Schulte Alert, Sept. 18, 2008
- “UK FSA Issues Guidance on New Short Selling Rule,” Schulte Alert, June 18, 2008
- “UK FSA Rule on Short Selling in Rights Issues Effective 20 June 2008,” Schulte Alert, June 16, 2008
- “Regulators Investigating Market Rumors,” Schulte Alert, March 28, 2008
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2008
- “Special Regulatory Issue,” Schulte Investment Management Developments, Fall 2007
- “Regulation of Fraudulent Market Activities,” Federal Securities Exchange Act of 1934 (Matthew Bender), 2006 (co-author) Supplements 2008 and 2009
- “Money Laundering and Suspicious Activity Reporting: What’s a Broker-Dealer to Do?,” 1046 PLI/CORP. 293, 1998 (co-author)
- “Proposed Rules Regarding the Responsibilities of Securities Clearing Firms for Their Introducing Brokers,” Schulte Securities Law Developments, Fall 1997 (co-author)
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"Behind the Numbers: A Webinar Discussing P&I's 15th Annual Hedge Fund Survey," Pensions & Investments and ASC Advisors, LLC Joint Webinar, September 2024
- "SEC Inspections and Examinations of Private Equity and Hedge Funds," PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, September 2024
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“What happens when the worst happens: navigating through an enforcement action,” AIMA Global Policy & Regulatory Forum, March 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “SEC seeks sweeping rule change addressing fund manager regulations,” CNBC Fast Money Halftime Report, July 2023
- “SEC Seeks Rule Change that Could Cause Fund Managers to Take Less Risk,” CNBC Squawk Box, July 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Fireside Chat: What's Next from the SEC?,” MFA Legal and Compliance, May 2022
- “Private Funds - Regulatory and Litigation,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “State of Affairs: The Industry Perspective,” MFA Legal and Compliance, July 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “The Changing Regulatory Landscape,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “State of Affairs: The Industry Perspective,” MFA Legal & Compliance 2020 Virtual Conference, July 2020
- “Board Representation and MNPI Controls,” Schulte Webinar, June 2020
- “Upcoming BE-10 Survey: What Private Fund Managers Need to Know,” Schulte Webinar, May 2020
- “The ABCs of ESG,” Schulte Webinar, April 2020
- “Regulatory Compliance 2020” and “Regulatory,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Webinar, November 2019
- PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, October 2019
- Schulte Current Examination Issues for Credit Funds Roundtable, September 2019
- “Upcoming TIC Filings,” Schulte Webinar, August 2019
- “Consultant Engagements and Attorney-Client Privilege Update,” Schulte Webinar, May 2019
- “Dealing with Conflicts,” Schulte 7th Annual Private Equity Fund Conference, May 2019
- “Fireside Chat: Achieving Optimal Performance Management and Applying New Data to People Analytics,” MFA West 2019, March 2019
- “Regulatory Compliance 2019” and “Regulatory Outlook,” Schulte 28th Annual Private Investment Funds Seminar, January 2019
- “SEC Inspections and Examinations of Private Hedge and Equity Funds,” PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018, October 2018
- “CCO Liability,” ACA Fall 2018 Compliance Conference, October 2018
- “Insights about Significant Legal and Compliance Developments that Impact Investment Management Professionals,” Duff & Phelps Breakfast Roundtable, September 2018
- “Regulatory Changes and Updates from the First Two Years in the New Administration,” Corporate Counsel 30th Annual General Counsel Conference, September 2018
- Deutsche Bank Co-Investment Considerations, New York, September 2018
- “FAQ – Cryptocurrency,” Schulte London Investment Management Hot Topics, July 2018
- “Regulatory Examinations and Current Areas of Focus,” Goldman Sachs 21st Annual Hedge Fund Conference, May 2018
- “Creating a Best-In-Class Compliance Training Program: Training the Trainer,” Goldman Sachs 4th Annual Legal and Regulatory Seminar, March 2018
- “SEC Keynote Fireside Chat: Priorities and Outlook,” MFA Legal & Compliance 2018, New York, March 2018
- “Regulatory Compliance 2018” and “Regulatory Outlook,” Schulte 27th Annual Private Investment Funds Seminar, January 2018
- “Monitoring Communications: Electronic, Social Media and More,” ACA Compliance Group Fall 2017 Compliance Conference, October 2017
- Managed Funds Association COO Forum, October 2017
- “Developing Talent Across All Generations,” JP Morgan COO Symposium, September 2017
- “The New Form ADV – Strategy and Preparation,” Schulte Webinar, September 2017
- “Investment Management Regulatory & Compliance Update – Texts, Chats and Other Electronic Messaging,” Schulte Webinar, July 2017
- Schulte Insider’s Guide to Government Investigations: Winning Strategies for Investment Funds, June 2017
- “Operational Best Practices,” Schulte 5th Annual Private Equity Fund Conference, May 2017
- “A Step-by-Step Guide to Form ADV Changes,” IA Watch IA Compliance: The Full 360° View – Compliance Solutions for a Rapidly Changing Regulatory World, April 2017
- Schulte Insider's Guide to Government Investigations: Winning Strategies for Investment Funds, April 2017
- Goldman Sachs 3rd Annual Legal and Regulatory Seminar, March 2017
- “The Regulation of Alternative Funds,” Grant Thornton Hedge Fund & Private Equity Emerging Manager Forum New York, March 2017
- “Regulatory Outlook,” Schulte 26th Annual Private Investment Funds Seminar, January 2017
- “Regulatory Landscape – Regulations Impacting Investment Management,” J.P. Morgan The COO of Tomorrow Program, October 2016
- UBS SEC Examination and Trend Updates, October 2016
- ACA Compliance Group Horizon Day, October 2016
- “Pay-to-Play: Don’t Get Caught Out This Election Season,” Fund Intelligence Briefing, July 2016
- Schulte Managing Attorney-Client Privilege: A Workshop for Private Fund GCs and CCOs, July 2016
- Goldman Sachs Nineteenth Annual Hedge Fund Conference, May 2016
- Moderator, “Fireside Chat: Compliance Priorities for the SEC,” MFA Compliance Conference, May 2016
- “RIA Regulations,” KPMG Real Estate Investment Advisor Luncheon, January 2016
- “The New Regulatory Challenges” and “Recent Examinations: Substantive Areas of Regulatory Focus,” Schulte 25th Annual Private Investment Funds Seminar, January 2016
- HFMWeek U.S. Breakfast Briefing: Conflicts of Interest and Marketing Failures: Keeping on the Right Side of the SEC, November 2015
- “Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section Committee Fall Meeting, November 2015
- “SEC Inspections and Examinations of Private Equity and Hedge Funds,” PLI Hedge & Private Fund Enforcement & Regulatory Developments Seminar, November 2015
- “Legal and Regulatory Trends and Developments,” Goldman Sachs Thirteenth Annual Hedge Fund Seminar, November 2015
- “Incentivizing Whistleblowing to the Government,” NYU Journal of Law & Business Fall Conference: Whistleblowing and Corporate Change, October 2015
- “Regulatory and Compliance,” Schulte 3rd Annual Private Equity Fund Conference, June 2015
- Goldman Sachs Eighteenth Annual Hedge Fund Conference, May 2015
- “Emerging Issues in Hedge Fund Compliance and Professional Ethics,” Managed Funds Association Compliance Conference, May 2015
- “Political Contributions and Paying to Play,” ACA Compliance Group Spring Compliance Conference, April 2015
- “Compliance – Newest Changes and How to Deal with Highest Risk Area of a Hedge Fund,” Bank of America Merrill Lynch COO/CFO Hedge Fund Symposium, March 2015
- “Private Funds: Their Exams and Enforcement Issues,” University of Texas School of Law 37th Annual Conference on Securities Regulation and Business Law, February 2015
- “GC and CCO Risks and Safeguards: Ethics in Practice” and “Regulatory Outlook: Exams, Enforcement and AIFMD,” Schulte 24th Annual Private Investment Funds Seminar, January 2015
- Schulte Employment & Employee Benefits Luncheon for Investment Managers, December 2014
- “Staying Ahead of the Curve(ball): How to Respond as Authorities Shift Focus from Creating New Regulations to Enforcing Them,” Houlihan Lokey 2014 Alternative Asset Valuation Symposium, November 2014
- “SEC Inspections and Examinations of Hedge and Private Equity Funds,” PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments Seminar, November 2014
- “Effective Annual Compliance Reviews,” Goldman Sachs Twelfth Annual Hedge Fund Seminar, November 2014
- ACA Compliance Group and ACA Insight Fall 2014 Compliance Conference, October 2014
- “Private Equity Fund Compliance Update,” Schulte Webinar, July 2014
- “Recent Enforcement and Other Regulatory Issues,” PLI Fifteenth Annual Private Equity Forum, July 2014
- Schulte Cybersecurity: Obligations and Expectations for Investment Fund Managers Breakfast, May 2014
- Goldman Sachs Seventeenth Annual Hedge Fund Conference, May 2014
- American Bar Association Business Law Section Spring Meeting, April 2014
- Schulte Liability Insurance Luncheon for Investment Fund Managers, March 2014
- “Marketing Opportunities and Challenges,” Schulte London Investment Management Hot Topics, March 2014
- Institutional Investor Corporate Funds Roundtable, March 2014
- “Making Sense of the Global Regulatory Environment for Operational Risk Professionals,” Alpha Research Group 2014 Operations for Alternatives, March 2014
- Citi Prime Finance How to Prepare for an SEC Examination, March 2014
- Bank of America Merrill Lynch Emerging Manager COO/CFO Conference, February 2014
- “The Regulatory Environment: Maze/Minefield,” Institutional Investor Alternative Investor Institute Senior Delegates Roundtable, February 2014
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 23rd Annual Private Investment Funds Seminar, January 2014
- “Preparing for Regulatory Inspections,” Goldman Sachs 13th Annual Hedge Fund Conference, November 2013
- Kinetic Partners Global Regulatory Outlook 2014 Launch, November 2013
- “Opening Armchair Chat with Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2013
- “AIFM Directive Marketing Rules for US, EU and Non-EU AIFMs,” Schulte AIFM Directive Update: Requirements for Private Fund Managers Webinar Series, October 2013
- “Annual Compliance Reviews of Registered Advisers in the New Era,” Schulte Investment Management Hot Topics, October 2013
- “The SEC’s Custody Rule,” New York State Society of CPAs Seminar, September 2013
- “‘Bad Actor’ Disclosure and Disqualification Provisions of Rule 506,” Schulte Webinar, September 2013
- “Fund Sales: Must the Broker Be Registered?” American Law Institute Webinar, August 2013
- “Alternative Investment Management: Surviving an SEC Examination,” American Bar Association Business Law Section Annual Meeting, August 2013
- “The JOBS Act: Public Offerings and Private Placements,” ACA Compliance Group Webinar, July 2013
- “Marketing and Advertising Compliance,” FRA Hedge Fund Accounting and Compliance Forum, July 2013
- Deutsche Bank SEC Presence Exams: What to Expect and How to Prepare, May 2013
- Goldman Sachs Sixteenth Annual Hedge Fund Conference, May 2013
- “Identity Theft Rules: Crafting Appropriate Policies for Private Fund Managers,” Schulte Webinar Workshop, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “AIFMD for EU Private Fund Managers: Remuneration Rules,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, April 2013
- “Allocation of Investment Opportunities Workshop,” Schulte Investment Management Hot Topics, April 2013
- “Compliance and Regulatory Examinations,” Schulte London Investment Management Hot Topics, March 2013
- “AIFMD for US Private Fund Managers,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, March 2013
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 22nd Annual Private Investment Funds Seminar, January 2013
- “Private Equity Fund Managers: Developments in Marketing, Compliance and SEC Exams,” Schulte Investment Management Hot Topics, November 2012
- “Securities Law Compliance – Insider Trading,” Columbia Business School Private Equity Program, October 2012
- “Increasing Demands for Transparency: Form PF, OPERA, AIFMD,” Deutsche Bank’s Global Prime Finance Hedge Fund Conference, September 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Form PF: A Roundtable Discussion for $5B+ Hedge Fund Managers,” Schulte Conference, June 2012
- Goldman Sachs Fifteenth Annual Hedge Fund Conference, May 2012
- “The SEC Exam Process and Compliance Concerns,” Managed Funds Association SEC Compliance Priorities Seminar, April 2012
- “Registration of Private Fund Managers: Who Needs to Register? How to Analyze Global Firms?,” New York City Bar Association Seminar: The Challenges of Regulatory Implementation Faced by Private Investment Funds and Their Managers, April 2012
- “Regulatory & Compliance Insights,” Schulte London Investment Management Hot Topics, February 2012
- “SEC Registration of Investment Advisers: New No-Action Letter Permitting Related Advisers to File Single Form ADV,” American Bar Association Webinar, February 2012
- “Compliance Spotlight” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, January 2012
- “Identifying and Addressing Conflicts of Interest,” ACA Compliance Group Fall Compliance Conference, September 2011
- “New Registration Rules Applicable to PE and VC Managers,” American Bar Association Annual Meeting, August 2011
- “Implementing a Post-Registration Compliance Program,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011
- “How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” Schulte Investment Management Hot Topics, May 2011
- “SEC Registration, Examination & Audit Regulatory Reform Status Report,” Managed Funds Association Chief Financial Officer Forum, April 2011
- “Primary Research – Expert Networks, Channel Checking and Compliance,” National Organization of Investment Professionals Spring Conference, April 2011
- “The New Framework for Adviser Regulation,” PLI Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers, March 2011
- “The Impact of Recent U.S. Regulatory Initiatives,” International Bar Association 12th Annual Private Investment Funds Conference, March 2011
- “SEC Regulatory Update,” ACA Compliance Group Spring Compliance Conference, March 2011
- J.P. Morgan A Practical Roadmap to Registration and New Investor Demands: What You Need to Know to Steer Clear of Associated Pitfalls & Risks, January 2011
- “Compliance Spotlight” and “Managing Compliance Strategically,” Schulte 20th Annual Private Investment Funds Seminar, January 2011
- “Private Equity Investment Adviser Registration,” Schulte Investment Management Hot Topics, December 2010
- Goldman Sachs Annual Hedge Fund Conference, November 2010
- Alternative Investment Financial Executives Association Private Equity and Venture Capital Funds Boot Camp, November 2010
- “Policies and Procedures Part I – Preventing Violations: Begin with a Fundamental Assessment of Your Business,” Hedge Fund Business Operations Association and Financial Research Associates Fifth Annual Meeting of the Hedge Fund Business Operations Association, October 2010
- “Life as a Registered Fund,” Alternative Investment Financial Executives Association General Membership Meeting, New York Chapter, October 2010
- “Managing Compliance Strategically,” Schulte Investment Management Hot Topics, October 2010
- “New Oversight and Supervision of Advisers,” Managed Funds Association New Regulatory Reforms: The Impact on Your Business, August 2010
- “Running Your Business as an RIA,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010
- New York Society of Security Analysts Alternative Analysts’ Forum: How Regulation is Changing the Hedge Fund Industry, April 2010
- “Spotlight on Compliance: Key Issues for 2010,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “Connecting the Multiple Dimensions of Financial Reporting: Regulatory, Investor and Internal Perspectives,” Financial Research Associates Accounting, Auditing & Risk-Control Standards for Hedge Funds, December 2009
- “Insider Trading Law and the New SEC Enforcement Environment,” Deutsche Bank’s Global Prime Finance Client Dinner, November 2009
- “Preparing for SEC Examinations of Private Fund Advisers,” Schulte Investment Management Hot Topics, November 2009
- “U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers,” Schulte Audio Conference Series, October 2009
- “Understanding the Legal Issues,” Alternative Investment Financial Executives Association Meeting, September 2009
- “Preparing for SEC Registration and New Reporting Requirements,” Schulte Investment Management Hot Topics, September 2009
- “Recent Legislative Developments for Hedge Funds,” New York State Bar Association Structured Products & Derivatives Law Committee Luncheon, September 2009
- “New Alternatives to the Custody/Prime Broker Model,” Managed Funds Association Adapting to Changes in Custody and Prime Brokerage for Hedge Fund Managers, September 2009
- “Hedge Funds: Registration and the New Regulatory Landscape,” Reuters Hedge Fund Webinar, September 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Current U.S. Congressional Proposals for Hedge Fund Regulation,” Schulte Audio Conference Series, February 2009
- “Spotlight on Compliance: Key Issues for 2009” and “Current SEC Investigations and Enforcement Actions,” Schulte 18th Annual Private Investment Funds Seminar, January 2009
- “Compliance Programs,” Schulte Investment Management Hot Topics Seminar, October 2008
- “Market Rumors,” Schulte Greenwich Private Investment Funds Seminar, September 2008
- “Regulation and Compliance Roundtable: Top Examination & Enforcement Priorities,” Financial Research Associates Sixth Hedge Fund Accounting & Administration Forum, July 2008
- “The Accountant’s Guide to Surviving an SEC or NFA Examination,” Financial Research Associates 10th Effective Hedge Fund Tax Practices Conference, May 2008
- “Hear Directly from the Regulators,” Financial Research Associates Fifth Hedge Fund Accounting and Administrative Conference, May 2008
- “Spotlight on Compliance: Key Issues for 2008” and “Addressing Conflicts of Interest,” Schulte 17th Annual Private Investment Funds Seminar, January 2008
- “Current Examination Issues,” “Referrals to Enforcement” and “The Exit Interview and Deficiency Letter Process,” West LegalWorks SEC Inspections Workshop for Investment Advisers and Investment Companies, July 2007
- “Litigation Trends Across the Hedge Fund Industry and Investor Rights,” Institute for International Research Hedge Fund Regulation & Compliance Seminar, April 2007
- “Regulatory Sweeps: Past, Present & Future,” Schulte Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006
- Hedge Funds Subcommittee of the Federal Regulation of Securities Committee, American Bar Association
- Steering Committee of the Outside Counsel Forum, Managed Funds Association
- Private Investment Funds Committee, New York City Bar Association
- Chambers Global – Band 1
- Chambers USA – Band 1
- The Legal 500 US
- Best Lawyers in America
- Who’s Who Legal: The International Who’s Who of Private Funds Lawyers
-
“5 SEC commissioners head to Capitol Hill,” Pensions & Investments, October 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules,” The Wall Street Journal, June 5, 2024 (quoted)
- “SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings to Date,” Schulte Alert, May 28, 2024
- “Marketing Rule FAQ – Impact of Subscription Lines of Credit on Presentation of Net IRRs” Schulte Alert, March 7, 2024
-
“Has Gensler’s SEC pushed Wall Street too far?” Financial Times, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “Wall Street Braces for More SEC Scrutiny of AI, Private Funds,” Bloomberg Law, Dec. 28, 2023 (quoted)
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “‘They Didn't Blow Up the World’: Big Law Reacts to New SEC Fund Rules,” The American Lawyer, Aug. 24, 2023 (quoted)
- “Private fund industry prepares for battle over sweeping US rules,” Financial Times, Aug. 18, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?," Schulte Alert, Aug. 2, 2023
- “Loan market breathes sigh of relief as SEC declines to comment on Kirschner case,” Creditflux, July 24, 2023 (quoted)
- “Market relieved after SEC declines to weigh in on loan securities court case,” Refinitiv Loan Connector, July 20, 2023 (quoted)
- CNBC Delivering Alpha Newsletter, July 7, 2023 (quoted)
- “SEC seeks rule change that could cause fund managers to take less risk,” CNBC, July 7, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “Get to the Point (of Sale): Client-Facing Possibilities for Law Firm Professional Staff,” LawVision, June 12, 2023 (quoted)
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “'A Juggernaut of Rules' as Hedge Funds Brace for SEC Scrutiny in '23,” FundFire, Dec. 21, 2022 (quoted)
- “Big Law Leader Calls For More Inclusive Policies Around Business Professionals,” The American Lawyer, Dec. 1, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- “Cracking Down on a Wall Street Trend: E.S.G. Makeovers,” DealBook Morning Newsletter (The New York Times), Sept. 17, 2022 (quoted)
- “SEC's New Hedge Fund Proposal Leaves Some Wary Of Hacks,” Law360, Aug. 16, 2022 (quoted)
- “Voya Financial’s Acquisition of Czech Asset Management,” Global Legal Chronicle, Aug. 9, 2022 (featured)
- “Schroders’ Acquisition of a Minority Stake in Forteus,” Global Legal Chronicle, Aug. 8, 2022 (featured)
- Securities Enforcement Quarterly, Schulte Publication, August 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Wall Street's Lawyers Attack SEC Effort to Crush Greenwashing,” Bloomberg, June 1, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Proposal to Redefine the Definition of ‘Dealer’ Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “Private Capital, Investment Management Fuel Strong Bounceback Year for Schulte,” The American Lawyer, April 6, 2022
- "DOL Compliance Guidance on Plan Investments in Digital Assets," Schulte Alert, March 16, 2022
- "SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- "SEC Proposes New Rules for Private Fund Managers," Schulte Alert, Feb. 9, 2022
- "SEC Proposes Substantial Increases to Form PF Reporting," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022
- Securities Enforcement Quarterly, Schulte Publication, Jan. 2022
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021; republished in Law360, Nov. 30, 2021
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, Nov. 2021
- “NFA Excludes Certain Remote Work Arrangements From Its Branch Office Definition,” Schulte Alert, Oct. 7, 2021
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- “SEC Charges Novel Insider Trading Case and Shines a Spotlight on ‘Shadow Trading,’” Schulte Alert, Aug. 19, 2021
- “Reminder: NFA Member Managers and Virtual Currency Disclosures,” Schulte Alert, Aug. 4, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- “SEC Focus on Private Fund Valuation Practices,” Reuters Westlaw, May 11, 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Recent Short Squeezes,” Schulte Alert, Jan. 28, 2021
- “Unique Issues With Fully Remote OCIE Exams, and How Sponsors Can Withstand the Agency’s Focus on Alternative Data (Part One of Two),” Private Equity Law Report, Dec. 8, 2020 (quoted)
- “New SEC Guidance on Compliance Responsibilities of Fund Managers and Chief Compliance Officers,” Schulte Alert, Nov. 23, 2020
- “Private Funds Regulatory Update,” Schulte Update, Nov. 2020
- “Private Funds Regulatory Update,” Schulte Update, Oct. 2020
- “Private Funds — Market Trends Report,” Schulte Publication, Oct. 2020
- “SEC Proposes Limited Exemption for Finders,” Schulte Alert, Oct. 9, 2020
- “How Fund Managers Can Prepare for SEC Remote Examinations During the Coronavirus Pandemic,” Private Equity Law Report, Sept. 1, 2020 (quoted)
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2020; republished in The Hedge Fund Journal, Sept. 2020
- “Hedge Fund Surveillance Issues Mount as Regulators Renew Focus,” FT FundFire, Aug. 19, 2020 (quoted)
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, Aug. 17, 2020; republished in Law360, Aug. 27, 2020
- “Private Funds Regulatory Update,” Schulte Update, July 2020
- “SEC Identifies Private Fund Deficiencies: Conflicts of Interest, Fees and Expenses, and MNPI Controls,” Schulte Alert, June 30, 2020; republished in the Harvard Law School Forum on Corporate Governance, July 27, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Supreme Court Limits Disgorgement in SEC Enforcement Actions,” Schulte Alert, June 23, 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “At Schulte Roth, COVID-19 Pandemic Accelerates New Leadership Goals,” New York Law Journal, May 11, 2020
- “Private Funds Regulatory Update,” Schulte Update, May 2020
- “SEC Form CRS: OCIE Announces Examination Focus,” Schulte Alert, April 10, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “Regulatory Update – Limited SEC Form ADV and PF Filing Relief Now Extended to June 30, 2020,” Schulte Alert, March 30, 2020
- “Private Funds – Ideas for Raising New Capital During the COVID-19 Dislocation,” Schulte Publication, March 26, 2020; republished in The Hedge Fund Journal, May 2020
- “Enforcement Update: Insider Trading and COVID-19 Political Intelligence,” Schulte Alert, March 25, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “SEC Update: New FAQs on ADV and Custody Rule Issues (COVID-19),” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “Form ADV – Coronavirus Update for Private Fund Managers – Limited SEC Form ADV and Form PF Filing Relief,” Schulte Alert, March 15, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “Protecting Firms Through Policies and Procedures, Training, and Testing,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2020
- “Sanctions Update: DOJ Revises Voluntary Self-Disclosure Policy for Export Control and Sanctions Violations,” Schulte Alert, Jan. 2, 2020
- “Private Funds Regulatory Update – CFTC Regulatory Roundup,” Schulte Update, Dec. 2019
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC’s Disgorgement Authority Under Review,” Schulte Alert, Nov. 22, 2019
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Memorandum, Nov. 2019
- “SEC Proposes Advertising and Cash Solicitation Rules Overhaul,” Schulte Alert, Nov. 6, 2019 (co-author); republished in The Hedge Fund Journal, Nov./Dec. 2019
- “SEC Final Interpretation of IA Standard of Conduct,” Schulte Update republished in The Hedge Fund Journal, Oct. 2019
- “The SEC’s Focus on Value-Added Investors,” The Hedge Fund Journal, Sept. 2019
- “The Darlings of Hedge Funds, Despite the Rhetoric,” HFMWeek, Sept. 11, 2019
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2019
- “Best Practices for Hedge Fund Managers to Mitigate the Conflicts Arising From Managed Accounts: Dealing With Enhanced Transparency and Liquidity (Part Two of Three),” Hedge Fund Law Report, July 25, 2019 (quoted)
- “Why Managed Accounts Present Conflicts of Interests for Hedge Fund Managers (Part One of Three),” Hedge Fund Law Report, July 18, 2019 (quoted)
- “SEC advertising rule: Getting the word out,” HFM Compliance, July 3, 2019 (quoted)
- “FinCEN Assesses Civil Money Penalty Against P2P Currency Exchanger for BSA Violations,” Schulte Alert, April 26, 2019 (co-author)
- “SEC Charges Fund Manager for Improper Cross Trades,” Schulte Alert, April 8, 2019
- “SEC Publishes First-Ever No-Action Letter for a Cryptocurrency Enterprise and a Framework for when a Cryptocurrency Is a Security,” Schulte Alert, April 10, 2019 (co-author)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2013-2018; (Full Court Press), 2022 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute) (contributor)
- “SEC Charges Hedge Fund Manager with Short-and-Distort Scheme,” Schulte Alert, Sept. 14, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “OCIE Best Execution Risk Alert: Guidance and Lessons for Private Fund Managers,” Schulte Alert, July 24, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “SEC Proposes Investment Adviser Standards of Conduct and Enhanced Regulation,” Schulte Alert, April 19, 2018
- “OCIE Issues Risk Alert on Fees and Expenses,” Schulte Alert, April 17, 2018
- “Regulation of Market Manipulation,” Federal Securities Exchange Act of 1934, March 2018
- “Cross-Border Implementation of MiFID II Research Provisions – SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance,” Schulte Alert, Oct. 31, 2017; republished in The Hedge Fund Journal, Oct. 2017
- “LabCFTC Releases Primer on Virtual Currencies,” Schulte Alert, Oct. 18, 2017
- “Sovereign Immunity Implications for Investment Advisers,” Compliance Corner, Oct. 2017
- “Second Circuit, in Split Decision, Overrules Limitation on Insider Trading Liability Established in U.S. v. Newman,” Schulte Alert, Aug. 28, 2017 (co-author); republished in The Hedge Fund Journal, Sept. 2017
- “Best Practices for Hedge Fund Managers Preparing for an SEC Examination,” Hedge Fund Legal & Compliance Digest, Aug. 2017 (co-author)
- “Managing Conflicts,” Private Funds Management, May 2017 (interview)
- “New Form ADV: The Impact on Private Fund Advisers,” Schulte Alert, Sept. 19, 2016; republished in The Hedge Fund Journal, Sept. 2016
- “Complying on Pay-To-Play: Tips for CCOs,” Compliance Reporter, May 19, 2016; republished in Fund Operations, July 5, 2016
- “Securities, Futures Regulators Increase Scrutiny, Expectations on Cybersecurity,” Bloomberg Brief | Financial Regulation, Oct. 23, 2015 (co-author)
- “Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” Schulte Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, Nov. 2015
- “CFTC’s Position on Bitcoin – and What It Means,” Law360, Sept. 25, 2015 (co-author)
- “Schulte Submits Commentary on SEC ADV & IAA Proposals – Concerns Over Consistency and Confidentiality,” The Hedge Fund Journal, Sept. 2015 (interview)
- “Cybersecurity Update: Takeaways from OCIE’s Examination Initiative and the NFA’s Rulemaking Proposal,” Schulte Alert, Sept. 21, 2015 (co-author)
- “CFTC Determines That Bitcoin and Other Virtual Currencies Are Commodities,” Schulte Alert, Sept. 18, 2015 (co-author)
- “The New AML Rules: Implications for Private Fund Managers,” Schulte Alert, Sept. 8, 2015 (co-author); republished in The Hedge Fund Journal, Sept. 24, 2015
- “SEC Examinations of Private Fund Advisers,” The Review of Securities & Commodities Regulation, June 17, 2015
- “The Impact of United States v. Newman on the Use by Investment Advisers of Information Resources,” The Investment Lawyer, June 2015 (co-author)
- “Q&A: Legal Defences,” HFMTechnology, May 2015 (interview)
- “Proactively Addressing Hedge Fund Cybersecurity Risks,” The Hedge Fund Journal, May 2015 (interview)
- “New SEC Cybersecurity Guidance: What It Means for Fund Managers,” Schulte Alert, May 4, 2015 (co-author); republished in The Hedge Fund Journal, June/July 2015
- “SEC Whistleblower Case Challenges Restrictive Language in Confidentiality Agreements,” Schulte Alert, April 10, 2015 (co-author)
- “SEC Cybersecurity Update: OCIE Risk Alert Provides Insights for Private Fund Managers on SEC Cybersecurity Examinations,” Schulte Alert, Feb. 4, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit,” Schulte Alert, Jan. 27, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Second Circuit Clarifies Insider Trading Liability of Tippees,” Schulte Alert, Dec. 15, 2014 (co-author); republished in The Hedge Fund Journal, Jan. 2015
- “JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” Schulte Alert, Sept. 11, 2014 (co-author); republished in The Hedge Fund Journal, Sept. 2014
- Schulte Insider Trading Developments Newsletter, Summer 2014 (contributor)
- “‘Knowledgeable Employees’ – Recent SEC Guidance Also Details Broker-Dealer Registrations,” The Hedge Fund Journal, March 31, 2014 (co-author)
- “Recent SEC Guidance on ‘Knowledgeable Employees’ and Broker-Dealer Registration,” Schulte Alert, Feb. 25, 2014 (co-author)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “SEC Releases ‘Bad Actor’ Rule Guidance,” Schulte Alert, Dec. 11, 2013 (co-author)
- “Reminder for Fund Managers on the November 20 Identity Theft Red Flags Rules Deadline,” Schulte Alert, Nov. 6, 2013 (co-author)
- “SEC Confirmation on ‘Soft Dollars’ Safe Harbour,” The Hedge Fund Journal, Nov. 4, 2013 (co-author)
- “SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) ‘Soft Dollars’ Safe Harbor,” Schulte Alert, Oct. 29, 2013 (co-author)
- “Reminder for Private Fund Managers: New Form D Is In Effect,” Schulte Alert, Oct. 3, 2013 (co-author)
- “How CCOs Can Prepare a Custody Rule Review,” Compliance Reporter, Sept. 23, 2013 (co-author)
- “SEC Custody Rule Update for Private Fund Managers,” Schulte Alert, Aug. 15, 2013 (co-author)
- “The Long View: Is US Regulation a New Bubble or a ‘New Normal’?,” HFMWeek, Aug. 14, 2013
- “The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers,” Schulte Alert, July 24, 2013 (co-author)
- “SEC Enforcement Division Increases the Pace of Rule 105 Investigations,” Schulte Alert, June 28, 2013 (co-author)
- “The Long View: On Hedge Fund Marketing,” HFMWeek, April 25, 2013
- "The SEC's New 'Presence Exams,'" The Investment Lawyer, Dec. 2012 (co-author)
- “The Long View: Why Working Through Every Item on an Extensive Checklist May Obscure the Bigger Risks – Particularly Conflicts of Interest,” HFMWeek, Nov. 21, 2012 (co-author)
- “SEC Announces ‘Presence Exams’ for Newly-Registered Investment Advisers,” Schulte Alert, Oct. 9, 2012 (co-author)
- “The Long View: How Hedge Fund Advertising Has Been Impacted by the JOBS Act,” HFMWeek, Aug. 23, 2012 (co-author)
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012 (co-author)
- “EEOC Issues New Guidance Regarding Applicants and Employees with Criminal Records,” Schulte Alert, June 12, 2012 (co-author)
- “The Long View: U.S. Regulation of Private Fund Managers, Beyond Dodd-Frank,” HFMWeek, May 8, 2012 (co-author)
- “FSOC Issues Final Rule on Designating Nonbanks as ‘Systemically Important’ – What Private Fund Managers Need to Know,” Schulte Alert, April 12, 2012 (co-author)
- “Registration of Investment Advisory Affiliates,” The Harvard Law School Forum on Corporate Governance and Financial Regulation, Feb. 24, 2012 (co-author)
- “The Long View: An Overview of the Key Pieces of U.S. Regulation Set to Impact Private Fund Managers in 2012,” HFMWeek, Feb. 2, 2012 (co-author)
- “CFTC Finalizes Significant Rule Changes Affecting Fund Managers and Investment Companies,” Schulte Alert, Feb. 10, 2012 (co-author)
- “SEC Staff Issues Guidance on Registration of Investment Advisory Affiliates,” Schulte Alert, Jan. 23, 2012 (co-author)
- “Final Rules for the Private Fund Investment Advisers Registration Act of 2010,” Schulte Memorandum, Aug. 8, 2011 (co-author)
- “Expert Networks: New Commentary by SEC Officials About Insider Trading,” Schulte Alert, March 25, 2011 (co-author)
- “Government Ratchets Up Investigation Into Insider Trading Involving Expert Networks,” Schulte Alert, Dec. 17, 2010 (co-author)
- “Insider Trading Update – SEC v. Cuban,” Schulte Alert, Sept. 22, 2010
- “SEC Investigations After Dodd-Frank: A Primer for Hedge Fund Managers and Their In-House Counsel,” Schulte Alert, Sept. 7, 2010
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, Sept. 2010 (co-author)
- “Financial Crisis Inquiry Commission Sends Out Hedge Fund Industry Market Risk Survey,” Schulte Alert, June 25, 2010
- “Financial Regulatory Reform: Key Issues for Private Fund Managers,” Schulte Alert, May 18, 2010
- “New Regulatory Scrutiny of Communications Among Hedge Fund Managers,” Schulte Alert, March 11, 2010
- “Update on Privacy Requirements Affecting Private Investment Fund Managers,” Schulte Memorandum, Feb. 26, 2010
- “SEC Adopts New Short-Selling Restrictions,” Schulte Alert, Feb. 25, 2010
- “Analysis of the SEC’s New Amendments to the Custody Rule,” Schulte Memorandum, Feb. 1, 2010
- “Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management for the Securities Industry, Sept.-Oct. 2009
- “SEC Proposes ‘Pay to Play’ Prohibitions,” Schulte Alert, Aug. 13, 2009
- “Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” Schulte Memorandum, July 30, 2009
- “Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” Schulte Memorandum, June 4, 2009
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2009
- “FSA Confirms Relaxation of Ban on Short Selling; Retains Disclosure Obligation,” Schulte Alert, Jan. 14, 2009
- “FSA Proposes to Relax Ban on Short Selling but Retain Disclosure Obligation,” Schulte Alert, Jan. 6, 2009
- “SEC Form SH Filing Notice,” Schulte Alert, Dec. 24, 2008
- “FSA Clarifies Short Sale Disclosure Requirements,” Schulte Alert, Oct. 31, 2008
- “Update on SEC Form SH Filing Requirements,” Schulte Alert, Oct. 23, 2008
- “SEC Extends Emergency Orders,” Schulte Alert, Oct. 3, 2008
- “Registered Investment Advisers Required to Provide Notifications of Changes to Custody Arrangements,” Schulte Alert, Sept. 30, 2008
- “SEC Issues Guidance on Form SH,” Schulte Alert, Sept. 26, 2008
- “FSA Clarifies Short Sale Prohibition and Disclosure Requirements,” Schulte Alert, Sept. 25, 2008
- “SEC Amends Emergency Order Banning Short Sales of Financial Firm Securities,” Schulte Alert, Sept. 23, 2008
- “SEC Announces ‘Sweeping Expansion’ of Its Investigation of Short Selling by Hedge Funds and Other Market Participants; Will Include Subpoenas and Require Statements Under Oath About Activity/Positions in Financial Services Company Stocks and Credit Default Swaps. NYSE Regulation and FINRA Conduct Parallel Inquiry Through Onsite Visits to Broker-Dealers,” Schulte Alert, Sept. 22, 2008
- “SEC Bans Short Selling and Imposes New Disclosures,” Schulte Alert, Sept. 19, 2008
- "FSA Bans Short Selling in Financial Stocks and Requires Daily Short-Position Disclosures,” Schulte Alert, Sept. 19, 2008
- “SEC Adopts New Short Sale Rules,” Schulte Alert, Sept. 18, 2008
- “UK FSA Issues Guidance on New Short Selling Rule,” Schulte Alert, June 18, 2008
- “UK FSA Rule on Short Selling in Rights Issues Effective 20 June 2008,” Schulte Alert, June 16, 2008
- “Regulators Investigating Market Rumors,” Schulte Alert, March 28, 2008
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2008
- “Special Regulatory Issue,” Schulte Investment Management Developments, Fall 2007
- “Regulation of Fraudulent Market Activities,” Federal Securities Exchange Act of 1934 (Matthew Bender), 2006 (co-author) Supplements 2008 and 2009
- “Money Laundering and Suspicious Activity Reporting: What’s a Broker-Dealer to Do?,” 1046 PLI/CORP. 293, 1998 (co-author)
- “Proposed Rules Regarding the Responsibilities of Securities Clearing Firms for Their Introducing Brokers,” Schulte Securities Law Developments, Fall 1997 (co-author)
-
"Behind the Numbers: A Webinar Discussing P&I's 15th Annual Hedge Fund Survey," Pensions & Investments and ASC Advisors, LLC Joint Webinar, September 2024
- "SEC Inspections and Examinations of Private Equity and Hedge Funds," PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, September 2024
-
“What happens when the worst happens: navigating through an enforcement action,” AIMA Global Policy & Regulatory Forum, March 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “SEC seeks sweeping rule change addressing fund manager regulations,” CNBC Fast Money Halftime Report, July 2023
- “SEC Seeks Rule Change that Could Cause Fund Managers to Take Less Risk,” CNBC Squawk Box, July 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Fireside Chat: What's Next from the SEC?,” MFA Legal and Compliance, May 2022
- “Private Funds - Regulatory and Litigation,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “State of Affairs: The Industry Perspective,” MFA Legal and Compliance, July 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “The Changing Regulatory Landscape,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “State of Affairs: The Industry Perspective,” MFA Legal & Compliance 2020 Virtual Conference, July 2020
- “Board Representation and MNPI Controls,” Schulte Webinar, June 2020
- “Upcoming BE-10 Survey: What Private Fund Managers Need to Know,” Schulte Webinar, May 2020
- “The ABCs of ESG,” Schulte Webinar, April 2020
- “Regulatory Compliance 2020” and “Regulatory,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Webinar, November 2019
- PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, October 2019
- Schulte Current Examination Issues for Credit Funds Roundtable, September 2019
- “Upcoming TIC Filings,” Schulte Webinar, August 2019
- “Consultant Engagements and Attorney-Client Privilege Update,” Schulte Webinar, May 2019
- “Dealing with Conflicts,” Schulte 7th Annual Private Equity Fund Conference, May 2019
- “Fireside Chat: Achieving Optimal Performance Management and Applying New Data to People Analytics,” MFA West 2019, March 2019
- “Regulatory Compliance 2019” and “Regulatory Outlook,” Schulte 28th Annual Private Investment Funds Seminar, January 2019
- “SEC Inspections and Examinations of Private Hedge and Equity Funds,” PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018, October 2018
- “CCO Liability,” ACA Fall 2018 Compliance Conference, October 2018
- “Insights about Significant Legal and Compliance Developments that Impact Investment Management Professionals,” Duff & Phelps Breakfast Roundtable, September 2018
- “Regulatory Changes and Updates from the First Two Years in the New Administration,” Corporate Counsel 30th Annual General Counsel Conference, September 2018
- Deutsche Bank Co-Investment Considerations, New York, September 2018
- “FAQ – Cryptocurrency,” Schulte London Investment Management Hot Topics, July 2018
- “Regulatory Examinations and Current Areas of Focus,” Goldman Sachs 21st Annual Hedge Fund Conference, May 2018
- “Creating a Best-In-Class Compliance Training Program: Training the Trainer,” Goldman Sachs 4th Annual Legal and Regulatory Seminar, March 2018
- “SEC Keynote Fireside Chat: Priorities and Outlook,” MFA Legal & Compliance 2018, New York, March 2018
- “Regulatory Compliance 2018” and “Regulatory Outlook,” Schulte 27th Annual Private Investment Funds Seminar, January 2018
- “Monitoring Communications: Electronic, Social Media and More,” ACA Compliance Group Fall 2017 Compliance Conference, October 2017
- Managed Funds Association COO Forum, October 2017
- “Developing Talent Across All Generations,” JP Morgan COO Symposium, September 2017
- “The New Form ADV – Strategy and Preparation,” Schulte Webinar, September 2017
- “Investment Management Regulatory & Compliance Update – Texts, Chats and Other Electronic Messaging,” Schulte Webinar, July 2017
- Schulte Insider’s Guide to Government Investigations: Winning Strategies for Investment Funds, June 2017
- “Operational Best Practices,” Schulte 5th Annual Private Equity Fund Conference, May 2017
- “A Step-by-Step Guide to Form ADV Changes,” IA Watch IA Compliance: The Full 360° View – Compliance Solutions for a Rapidly Changing Regulatory World, April 2017
- Schulte Insider's Guide to Government Investigations: Winning Strategies for Investment Funds, April 2017
- Goldman Sachs 3rd Annual Legal and Regulatory Seminar, March 2017
- “The Regulation of Alternative Funds,” Grant Thornton Hedge Fund & Private Equity Emerging Manager Forum New York, March 2017
- “Regulatory Outlook,” Schulte 26th Annual Private Investment Funds Seminar, January 2017
- “Regulatory Landscape – Regulations Impacting Investment Management,” J.P. Morgan The COO of Tomorrow Program, October 2016
- UBS SEC Examination and Trend Updates, October 2016
- ACA Compliance Group Horizon Day, October 2016
- “Pay-to-Play: Don’t Get Caught Out This Election Season,” Fund Intelligence Briefing, July 2016
- Schulte Managing Attorney-Client Privilege: A Workshop for Private Fund GCs and CCOs, July 2016
- Goldman Sachs Nineteenth Annual Hedge Fund Conference, May 2016
- Moderator, “Fireside Chat: Compliance Priorities for the SEC,” MFA Compliance Conference, May 2016
- “RIA Regulations,” KPMG Real Estate Investment Advisor Luncheon, January 2016
- “The New Regulatory Challenges” and “Recent Examinations: Substantive Areas of Regulatory Focus,” Schulte 25th Annual Private Investment Funds Seminar, January 2016
- HFMWeek U.S. Breakfast Briefing: Conflicts of Interest and Marketing Failures: Keeping on the Right Side of the SEC, November 2015
- “Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section Committee Fall Meeting, November 2015
- “SEC Inspections and Examinations of Private Equity and Hedge Funds,” PLI Hedge & Private Fund Enforcement & Regulatory Developments Seminar, November 2015
- “Legal and Regulatory Trends and Developments,” Goldman Sachs Thirteenth Annual Hedge Fund Seminar, November 2015
- “Incentivizing Whistleblowing to the Government,” NYU Journal of Law & Business Fall Conference: Whistleblowing and Corporate Change, October 2015
- “Regulatory and Compliance,” Schulte 3rd Annual Private Equity Fund Conference, June 2015
- Goldman Sachs Eighteenth Annual Hedge Fund Conference, May 2015
- “Emerging Issues in Hedge Fund Compliance and Professional Ethics,” Managed Funds Association Compliance Conference, May 2015
- “Political Contributions and Paying to Play,” ACA Compliance Group Spring Compliance Conference, April 2015
- “Compliance – Newest Changes and How to Deal with Highest Risk Area of a Hedge Fund,” Bank of America Merrill Lynch COO/CFO Hedge Fund Symposium, March 2015
- “Private Funds: Their Exams and Enforcement Issues,” University of Texas School of Law 37th Annual Conference on Securities Regulation and Business Law, February 2015
- “GC and CCO Risks and Safeguards: Ethics in Practice” and “Regulatory Outlook: Exams, Enforcement and AIFMD,” Schulte 24th Annual Private Investment Funds Seminar, January 2015
- Schulte Employment & Employee Benefits Luncheon for Investment Managers, December 2014
- “Staying Ahead of the Curve(ball): How to Respond as Authorities Shift Focus from Creating New Regulations to Enforcing Them,” Houlihan Lokey 2014 Alternative Asset Valuation Symposium, November 2014
- “SEC Inspections and Examinations of Hedge and Private Equity Funds,” PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments Seminar, November 2014
- “Effective Annual Compliance Reviews,” Goldman Sachs Twelfth Annual Hedge Fund Seminar, November 2014
- ACA Compliance Group and ACA Insight Fall 2014 Compliance Conference, October 2014
- “Private Equity Fund Compliance Update,” Schulte Webinar, July 2014
- “Recent Enforcement and Other Regulatory Issues,” PLI Fifteenth Annual Private Equity Forum, July 2014
- Schulte Cybersecurity: Obligations and Expectations for Investment Fund Managers Breakfast, May 2014
- Goldman Sachs Seventeenth Annual Hedge Fund Conference, May 2014
- American Bar Association Business Law Section Spring Meeting, April 2014
- Schulte Liability Insurance Luncheon for Investment Fund Managers, March 2014
- “Marketing Opportunities and Challenges,” Schulte London Investment Management Hot Topics, March 2014
- Institutional Investor Corporate Funds Roundtable, March 2014
- “Making Sense of the Global Regulatory Environment for Operational Risk Professionals,” Alpha Research Group 2014 Operations for Alternatives, March 2014
- Citi Prime Finance How to Prepare for an SEC Examination, March 2014
- Bank of America Merrill Lynch Emerging Manager COO/CFO Conference, February 2014
- “The Regulatory Environment: Maze/Minefield,” Institutional Investor Alternative Investor Institute Senior Delegates Roundtable, February 2014
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 23rd Annual Private Investment Funds Seminar, January 2014
- “Preparing for Regulatory Inspections,” Goldman Sachs 13th Annual Hedge Fund Conference, November 2013
- Kinetic Partners Global Regulatory Outlook 2014 Launch, November 2013
- “Opening Armchair Chat with Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2013
- “AIFM Directive Marketing Rules for US, EU and Non-EU AIFMs,” Schulte AIFM Directive Update: Requirements for Private Fund Managers Webinar Series, October 2013
- “Annual Compliance Reviews of Registered Advisers in the New Era,” Schulte Investment Management Hot Topics, October 2013
- “The SEC’s Custody Rule,” New York State Society of CPAs Seminar, September 2013
- “‘Bad Actor’ Disclosure and Disqualification Provisions of Rule 506,” Schulte Webinar, September 2013
- “Fund Sales: Must the Broker Be Registered?” American Law Institute Webinar, August 2013
- “Alternative Investment Management: Surviving an SEC Examination,” American Bar Association Business Law Section Annual Meeting, August 2013
- “The JOBS Act: Public Offerings and Private Placements,” ACA Compliance Group Webinar, July 2013
- “Marketing and Advertising Compliance,” FRA Hedge Fund Accounting and Compliance Forum, July 2013
- Deutsche Bank SEC Presence Exams: What to Expect and How to Prepare, May 2013
- Goldman Sachs Sixteenth Annual Hedge Fund Conference, May 2013
- “Identity Theft Rules: Crafting Appropriate Policies for Private Fund Managers,” Schulte Webinar Workshop, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “AIFMD for EU Private Fund Managers: Remuneration Rules,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, April 2013
- “Allocation of Investment Opportunities Workshop,” Schulte Investment Management Hot Topics, April 2013
- “Compliance and Regulatory Examinations,” Schulte London Investment Management Hot Topics, March 2013
- “AIFMD for US Private Fund Managers,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, March 2013
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 22nd Annual Private Investment Funds Seminar, January 2013
- “Private Equity Fund Managers: Developments in Marketing, Compliance and SEC Exams,” Schulte Investment Management Hot Topics, November 2012
- “Securities Law Compliance – Insider Trading,” Columbia Business School Private Equity Program, October 2012
- “Increasing Demands for Transparency: Form PF, OPERA, AIFMD,” Deutsche Bank’s Global Prime Finance Hedge Fund Conference, September 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Form PF: A Roundtable Discussion for $5B+ Hedge Fund Managers,” Schulte Conference, June 2012
- Goldman Sachs Fifteenth Annual Hedge Fund Conference, May 2012
- “The SEC Exam Process and Compliance Concerns,” Managed Funds Association SEC Compliance Priorities Seminar, April 2012
- “Registration of Private Fund Managers: Who Needs to Register? How to Analyze Global Firms?,” New York City Bar Association Seminar: The Challenges of Regulatory Implementation Faced by Private Investment Funds and Their Managers, April 2012
- “Regulatory & Compliance Insights,” Schulte London Investment Management Hot Topics, February 2012
- “SEC Registration of Investment Advisers: New No-Action Letter Permitting Related Advisers to File Single Form ADV,” American Bar Association Webinar, February 2012
- “Compliance Spotlight” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, January 2012
- “Identifying and Addressing Conflicts of Interest,” ACA Compliance Group Fall Compliance Conference, September 2011
- “New Registration Rules Applicable to PE and VC Managers,” American Bar Association Annual Meeting, August 2011
- “Implementing a Post-Registration Compliance Program,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011
- “How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” Schulte Investment Management Hot Topics, May 2011
- “SEC Registration, Examination & Audit Regulatory Reform Status Report,” Managed Funds Association Chief Financial Officer Forum, April 2011
- “Primary Research – Expert Networks, Channel Checking and Compliance,” National Organization of Investment Professionals Spring Conference, April 2011
- “The New Framework for Adviser Regulation,” PLI Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers, March 2011
- “The Impact of Recent U.S. Regulatory Initiatives,” International Bar Association 12th Annual Private Investment Funds Conference, March 2011
- “SEC Regulatory Update,” ACA Compliance Group Spring Compliance Conference, March 2011
- J.P. Morgan A Practical Roadmap to Registration and New Investor Demands: What You Need to Know to Steer Clear of Associated Pitfalls & Risks, January 2011
- “Compliance Spotlight” and “Managing Compliance Strategically,” Schulte 20th Annual Private Investment Funds Seminar, January 2011
- “Private Equity Investment Adviser Registration,” Schulte Investment Management Hot Topics, December 2010
- Goldman Sachs Annual Hedge Fund Conference, November 2010
- Alternative Investment Financial Executives Association Private Equity and Venture Capital Funds Boot Camp, November 2010
- “Policies and Procedures Part I – Preventing Violations: Begin with a Fundamental Assessment of Your Business,” Hedge Fund Business Operations Association and Financial Research Associates Fifth Annual Meeting of the Hedge Fund Business Operations Association, October 2010
- “Life as a Registered Fund,” Alternative Investment Financial Executives Association General Membership Meeting, New York Chapter, October 2010
- “Managing Compliance Strategically,” Schulte Investment Management Hot Topics, October 2010
- “New Oversight and Supervision of Advisers,” Managed Funds Association New Regulatory Reforms: The Impact on Your Business, August 2010
- “Running Your Business as an RIA,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010
- New York Society of Security Analysts Alternative Analysts’ Forum: How Regulation is Changing the Hedge Fund Industry, April 2010
- “Spotlight on Compliance: Key Issues for 2010,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “Connecting the Multiple Dimensions of Financial Reporting: Regulatory, Investor and Internal Perspectives,” Financial Research Associates Accounting, Auditing & Risk-Control Standards for Hedge Funds, December 2009
- “Insider Trading Law and the New SEC Enforcement Environment,” Deutsche Bank’s Global Prime Finance Client Dinner, November 2009
- “Preparing for SEC Examinations of Private Fund Advisers,” Schulte Investment Management Hot Topics, November 2009
- “U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers,” Schulte Audio Conference Series, October 2009
- “Understanding the Legal Issues,” Alternative Investment Financial Executives Association Meeting, September 2009
- “Preparing for SEC Registration and New Reporting Requirements,” Schulte Investment Management Hot Topics, September 2009
- “Recent Legislative Developments for Hedge Funds,” New York State Bar Association Structured Products & Derivatives Law Committee Luncheon, September 2009
- “New Alternatives to the Custody/Prime Broker Model,” Managed Funds Association Adapting to Changes in Custody and Prime Brokerage for Hedge Fund Managers, September 2009
- “Hedge Funds: Registration and the New Regulatory Landscape,” Reuters Hedge Fund Webinar, September 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Current U.S. Congressional Proposals for Hedge Fund Regulation,” Schulte Audio Conference Series, February 2009
- “Spotlight on Compliance: Key Issues for 2009” and “Current SEC Investigations and Enforcement Actions,” Schulte 18th Annual Private Investment Funds Seminar, January 2009
- “Compliance Programs,” Schulte Investment Management Hot Topics Seminar, October 2008
- “Market Rumors,” Schulte Greenwich Private Investment Funds Seminar, September 2008
- “Regulation and Compliance Roundtable: Top Examination & Enforcement Priorities,” Financial Research Associates Sixth Hedge Fund Accounting & Administration Forum, July 2008
- “The Accountant’s Guide to Surviving an SEC or NFA Examination,” Financial Research Associates 10th Effective Hedge Fund Tax Practices Conference, May 2008
- “Hear Directly from the Regulators,” Financial Research Associates Fifth Hedge Fund Accounting and Administrative Conference, May 2008
- “Spotlight on Compliance: Key Issues for 2008” and “Addressing Conflicts of Interest,” Schulte 17th Annual Private Investment Funds Seminar, January 2008
- “Current Examination Issues,” “Referrals to Enforcement” and “The Exit Interview and Deficiency Letter Process,” West LegalWorks SEC Inspections Workshop for Investment Advisers and Investment Companies, July 2007
- “Litigation Trends Across the Hedge Fund Industry and Investor Rights,” Institute for International Research Hedge Fund Regulation & Compliance Seminar, April 2007
- “Regulatory Sweeps: Past, Present & Future,” Schulte Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006
- Hedge Funds Subcommittee of the Federal Regulation of Securities Committee, American Bar Association
- Steering Committee of the Outside Counsel Forum, Managed Funds Association
- Private Investment Funds Committee, New York City Bar Association
- Chambers Global – Band 1
- Chambers USA – Band 1
- The Legal 500 US
- Best Lawyers in America
- Who’s Who Legal: The International Who’s Who of Private Funds Lawyers
Marc E. Elovitz
Partner
Schulte’s co-managing partner, member of the firm’s Executive Committee and co-chair of the Investment Management Regulatory & Compliance Group. Advises private fund managers on running their businesses consistent with the Investment Advisers Act of 1940 and all other applicable laws, regulations and legal requirements.
Marc’s cutting-edge work covers the latest trends of interest to private funds, including blockchain technology and digital assets. He advises on the legal and regulatory considerations involving virtual and digital currency business initiatives and the blockchain technology behind them.
He also develops new compliance testing programs in areas such as trade allocations and conflicts of interest, and leads macro-level compliance infrastructure reviews with fund managers, identifying the material risks specific to each particular firm and evaluating the compliance programs in place to address those risks.
Marc works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He provides guidance on SEC registration, examination and enforcement matters.
Marc regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws. He has also developed and led compliance training sessions for marketing and investor relations professionals.
As a speaker, Marc is frequently invited to discuss current industry-related topics of interest at leading professional and trade association events. He has presented on whistleblowing, regulatory and compliance issues for private funds and SEC inspections and examinations of hedge funds and private equity funds, among many other topics.
Marc has been a member of the Steering Committee of the Managed Funds Association’s Outside Counsel Forum, the American Bar Association’s Hedge Funds Subcommittee and the Private Investment Funds Committee of the New York City Bar Association.
A recognized thought leader, he is regularly interviewed by leading media outlets, including Bloomberg, HFMWeek, HFM Compliance, Compliance Reporter, IA Watch, Private Funds Management and Law360, to name a few.
Marc is a co-author of:
- Hedge Funds: Formation, Operation and Regulation (Full Court Press)
- the “Protecting Firms Through Policies and Procedures, Training, and Testing” chapter in the Insider Trading Law and Compliance Answer Book (Practising Law Institute)
- the “Market Manipulation” chapter in the leading treatise Federal Securities Exchange Act of 1934 (Matthew Bender)
He also wrote the chapter on “The Legal Basis of Investment Management in the U.S.” for The Law of Investment Management (Oxford University Press).
Bar Admissions
- New York
Court Admissions
- US Supreme Court, 1995
- US Court of Appeals, Fourth Circuit, 1995
- US Court of Appeals, Sixth Circuit, 1995
- US Court of Appeals, Ninth Circuit, 1996
- US District Court, Eastern District of New York, 1991
- US District Court, Southern District of New York, 1991
Education
- New York University School of Law, JD
- Wesleyan University, BA
- with honors
-
“5 SEC commissioners head to Capitol Hill,” Pensions & Investments, October 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules,” The Wall Street Journal, June 5, 2024 (quoted)
- “SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings to Date,” Schulte Alert, May 28, 2024
- “Marketing Rule FAQ – Impact of Subscription Lines of Credit on Presentation of Net IRRs” Schulte Alert, March 7, 2024
-
“Has Gensler’s SEC pushed Wall Street too far?” Financial Times, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “Wall Street Braces for More SEC Scrutiny of AI, Private Funds,” Bloomberg Law, Dec. 28, 2023 (quoted)
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “‘They Didn't Blow Up the World’: Big Law Reacts to New SEC Fund Rules,” The American Lawyer, Aug. 24, 2023 (quoted)
- “Private fund industry prepares for battle over sweeping US rules,” Financial Times, Aug. 18, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?," Schulte Alert, Aug. 2, 2023
- “Loan market breathes sigh of relief as SEC declines to comment on Kirschner case,” Creditflux, July 24, 2023 (quoted)
- “Market relieved after SEC declines to weigh in on loan securities court case,” Refinitiv Loan Connector, July 20, 2023 (quoted)
- CNBC Delivering Alpha Newsletter, July 7, 2023 (quoted)
- “SEC seeks rule change that could cause fund managers to take less risk,” CNBC, July 7, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “Get to the Point (of Sale): Client-Facing Possibilities for Law Firm Professional Staff,” LawVision, June 12, 2023 (quoted)
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “'A Juggernaut of Rules' as Hedge Funds Brace for SEC Scrutiny in '23,” FundFire, Dec. 21, 2022 (quoted)
- “Big Law Leader Calls For More Inclusive Policies Around Business Professionals,” The American Lawyer, Dec. 1, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- “Cracking Down on a Wall Street Trend: E.S.G. Makeovers,” DealBook Morning Newsletter (The New York Times), Sept. 17, 2022 (quoted)
- “SEC's New Hedge Fund Proposal Leaves Some Wary Of Hacks,” Law360, Aug. 16, 2022 (quoted)
- “Voya Financial’s Acquisition of Czech Asset Management,” Global Legal Chronicle, Aug. 9, 2022 (featured)
- “Schroders’ Acquisition of a Minority Stake in Forteus,” Global Legal Chronicle, Aug. 8, 2022 (featured)
- Securities Enforcement Quarterly, Schulte Publication, August 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Wall Street's Lawyers Attack SEC Effort to Crush Greenwashing,” Bloomberg, June 1, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Proposal to Redefine the Definition of ‘Dealer’ Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “Private Capital, Investment Management Fuel Strong Bounceback Year for Schulte,” The American Lawyer, April 6, 2022
- "DOL Compliance Guidance on Plan Investments in Digital Assets," Schulte Alert, March 16, 2022
- "SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- "SEC Proposes New Rules for Private Fund Managers," Schulte Alert, Feb. 9, 2022
- "SEC Proposes Substantial Increases to Form PF Reporting," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022
- Securities Enforcement Quarterly, Schulte Publication, Jan. 2022
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021; republished in Law360, Nov. 30, 2021
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, Nov. 2021
- “NFA Excludes Certain Remote Work Arrangements From Its Branch Office Definition,” Schulte Alert, Oct. 7, 2021
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- “SEC Charges Novel Insider Trading Case and Shines a Spotlight on ‘Shadow Trading,’” Schulte Alert, Aug. 19, 2021
- “Reminder: NFA Member Managers and Virtual Currency Disclosures,” Schulte Alert, Aug. 4, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- “SEC Focus on Private Fund Valuation Practices,” Reuters Westlaw, May 11, 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Recent Short Squeezes,” Schulte Alert, Jan. 28, 2021
- “Unique Issues With Fully Remote OCIE Exams, and How Sponsors Can Withstand the Agency’s Focus on Alternative Data (Part One of Two),” Private Equity Law Report, Dec. 8, 2020 (quoted)
- “New SEC Guidance on Compliance Responsibilities of Fund Managers and Chief Compliance Officers,” Schulte Alert, Nov. 23, 2020
- “Private Funds Regulatory Update,” Schulte Update, Nov. 2020
- “Private Funds Regulatory Update,” Schulte Update, Oct. 2020
- “Private Funds — Market Trends Report,” Schulte Publication, Oct. 2020
- “SEC Proposes Limited Exemption for Finders,” Schulte Alert, Oct. 9, 2020
- “How Fund Managers Can Prepare for SEC Remote Examinations During the Coronavirus Pandemic,” Private Equity Law Report, Sept. 1, 2020 (quoted)
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2020; republished in The Hedge Fund Journal, Sept. 2020
- “Hedge Fund Surveillance Issues Mount as Regulators Renew Focus,” FT FundFire, Aug. 19, 2020 (quoted)
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, Aug. 17, 2020; republished in Law360, Aug. 27, 2020
- “Private Funds Regulatory Update,” Schulte Update, July 2020
- “SEC Identifies Private Fund Deficiencies: Conflicts of Interest, Fees and Expenses, and MNPI Controls,” Schulte Alert, June 30, 2020; republished in the Harvard Law School Forum on Corporate Governance, July 27, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Supreme Court Limits Disgorgement in SEC Enforcement Actions,” Schulte Alert, June 23, 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “At Schulte Roth, COVID-19 Pandemic Accelerates New Leadership Goals,” New York Law Journal, May 11, 2020
- “Private Funds Regulatory Update,” Schulte Update, May 2020
- “SEC Form CRS: OCIE Announces Examination Focus,” Schulte Alert, April 10, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “Regulatory Update – Limited SEC Form ADV and PF Filing Relief Now Extended to June 30, 2020,” Schulte Alert, March 30, 2020
- “Private Funds – Ideas for Raising New Capital During the COVID-19 Dislocation,” Schulte Publication, March 26, 2020; republished in The Hedge Fund Journal, May 2020
- “Enforcement Update: Insider Trading and COVID-19 Political Intelligence,” Schulte Alert, March 25, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “SEC Update: New FAQs on ADV and Custody Rule Issues (COVID-19),” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “Form ADV – Coronavirus Update for Private Fund Managers – Limited SEC Form ADV and Form PF Filing Relief,” Schulte Alert, March 15, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “Protecting Firms Through Policies and Procedures, Training, and Testing,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2020
- “Sanctions Update: DOJ Revises Voluntary Self-Disclosure Policy for Export Control and Sanctions Violations,” Schulte Alert, Jan. 2, 2020
- “Private Funds Regulatory Update – CFTC Regulatory Roundup,” Schulte Update, Dec. 2019
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC’s Disgorgement Authority Under Review,” Schulte Alert, Nov. 22, 2019
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Memorandum, Nov. 2019
- “SEC Proposes Advertising and Cash Solicitation Rules Overhaul,” Schulte Alert, Nov. 6, 2019 (co-author); republished in The Hedge Fund Journal, Nov./Dec. 2019
- “SEC Final Interpretation of IA Standard of Conduct,” Schulte Update republished in The Hedge Fund Journal, Oct. 2019
- “The SEC’s Focus on Value-Added Investors,” The Hedge Fund Journal, Sept. 2019
- “The Darlings of Hedge Funds, Despite the Rhetoric,” HFMWeek, Sept. 11, 2019
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2019
- “Best Practices for Hedge Fund Managers to Mitigate the Conflicts Arising From Managed Accounts: Dealing With Enhanced Transparency and Liquidity (Part Two of Three),” Hedge Fund Law Report, July 25, 2019 (quoted)
- “Why Managed Accounts Present Conflicts of Interests for Hedge Fund Managers (Part One of Three),” Hedge Fund Law Report, July 18, 2019 (quoted)
- “SEC advertising rule: Getting the word out,” HFM Compliance, July 3, 2019 (quoted)
- “FinCEN Assesses Civil Money Penalty Against P2P Currency Exchanger for BSA Violations,” Schulte Alert, April 26, 2019 (co-author)
- “SEC Charges Fund Manager for Improper Cross Trades,” Schulte Alert, April 8, 2019
- “SEC Publishes First-Ever No-Action Letter for a Cryptocurrency Enterprise and a Framework for when a Cryptocurrency Is a Security,” Schulte Alert, April 10, 2019 (co-author)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2013-2018; (Full Court Press), 2022 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute) (contributor)
- “SEC Charges Hedge Fund Manager with Short-and-Distort Scheme,” Schulte Alert, Sept. 14, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “OCIE Best Execution Risk Alert: Guidance and Lessons for Private Fund Managers,” Schulte Alert, July 24, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “SEC Proposes Investment Adviser Standards of Conduct and Enhanced Regulation,” Schulte Alert, April 19, 2018
- “OCIE Issues Risk Alert on Fees and Expenses,” Schulte Alert, April 17, 2018
- “Regulation of Market Manipulation,” Federal Securities Exchange Act of 1934, March 2018
- “Cross-Border Implementation of MiFID II Research Provisions – SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance,” Schulte Alert, Oct. 31, 2017; republished in The Hedge Fund Journal, Oct. 2017
- “LabCFTC Releases Primer on Virtual Currencies,” Schulte Alert, Oct. 18, 2017
- “Sovereign Immunity Implications for Investment Advisers,” Compliance Corner, Oct. 2017
- “Second Circuit, in Split Decision, Overrules Limitation on Insider Trading Liability Established in U.S. v. Newman,” Schulte Alert, Aug. 28, 2017 (co-author); republished in The Hedge Fund Journal, Sept. 2017
- “Best Practices for Hedge Fund Managers Preparing for an SEC Examination,” Hedge Fund Legal & Compliance Digest, Aug. 2017 (co-author)
- “Managing Conflicts,” Private Funds Management, May 2017 (interview)
- “New Form ADV: The Impact on Private Fund Advisers,” Schulte Alert, Sept. 19, 2016; republished in The Hedge Fund Journal, Sept. 2016
- “Complying on Pay-To-Play: Tips for CCOs,” Compliance Reporter, May 19, 2016; republished in Fund Operations, July 5, 2016
- “Securities, Futures Regulators Increase Scrutiny, Expectations on Cybersecurity,” Bloomberg Brief | Financial Regulation, Oct. 23, 2015 (co-author)
- “Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” Schulte Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, Nov. 2015
- “CFTC’s Position on Bitcoin – and What It Means,” Law360, Sept. 25, 2015 (co-author)
- “Schulte Submits Commentary on SEC ADV & IAA Proposals – Concerns Over Consistency and Confidentiality,” The Hedge Fund Journal, Sept. 2015 (interview)
- “Cybersecurity Update: Takeaways from OCIE’s Examination Initiative and the NFA’s Rulemaking Proposal,” Schulte Alert, Sept. 21, 2015 (co-author)
- “CFTC Determines That Bitcoin and Other Virtual Currencies Are Commodities,” Schulte Alert, Sept. 18, 2015 (co-author)
- “The New AML Rules: Implications for Private Fund Managers,” Schulte Alert, Sept. 8, 2015 (co-author); republished in The Hedge Fund Journal, Sept. 24, 2015
- “SEC Examinations of Private Fund Advisers,” The Review of Securities & Commodities Regulation, June 17, 2015
- “The Impact of United States v. Newman on the Use by Investment Advisers of Information Resources,” The Investment Lawyer, June 2015 (co-author)
- “Q&A: Legal Defences,” HFMTechnology, May 2015 (interview)
- “Proactively Addressing Hedge Fund Cybersecurity Risks,” The Hedge Fund Journal, May 2015 (interview)
- “New SEC Cybersecurity Guidance: What It Means for Fund Managers,” Schulte Alert, May 4, 2015 (co-author); republished in The Hedge Fund Journal, June/July 2015
- “SEC Whistleblower Case Challenges Restrictive Language in Confidentiality Agreements,” Schulte Alert, April 10, 2015 (co-author)
- “SEC Cybersecurity Update: OCIE Risk Alert Provides Insights for Private Fund Managers on SEC Cybersecurity Examinations,” Schulte Alert, Feb. 4, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit,” Schulte Alert, Jan. 27, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Second Circuit Clarifies Insider Trading Liability of Tippees,” Schulte Alert, Dec. 15, 2014 (co-author); republished in The Hedge Fund Journal, Jan. 2015
- “JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” Schulte Alert, Sept. 11, 2014 (co-author); republished in The Hedge Fund Journal, Sept. 2014
- Schulte Insider Trading Developments Newsletter, Summer 2014 (contributor)
- “‘Knowledgeable Employees’ – Recent SEC Guidance Also Details Broker-Dealer Registrations,” The Hedge Fund Journal, March 31, 2014 (co-author)
- “Recent SEC Guidance on ‘Knowledgeable Employees’ and Broker-Dealer Registration,” Schulte Alert, Feb. 25, 2014 (co-author)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “SEC Releases ‘Bad Actor’ Rule Guidance,” Schulte Alert, Dec. 11, 2013 (co-author)
- “Reminder for Fund Managers on the November 20 Identity Theft Red Flags Rules Deadline,” Schulte Alert, Nov. 6, 2013 (co-author)
- “SEC Confirmation on ‘Soft Dollars’ Safe Harbour,” The Hedge Fund Journal, Nov. 4, 2013 (co-author)
- “SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) ‘Soft Dollars’ Safe Harbor,” Schulte Alert, Oct. 29, 2013 (co-author)
- “Reminder for Private Fund Managers: New Form D Is In Effect,” Schulte Alert, Oct. 3, 2013 (co-author)
- “How CCOs Can Prepare a Custody Rule Review,” Compliance Reporter, Sept. 23, 2013 (co-author)
- “SEC Custody Rule Update for Private Fund Managers,” Schulte Alert, Aug. 15, 2013 (co-author)
- “The Long View: Is US Regulation a New Bubble or a ‘New Normal’?,” HFMWeek, Aug. 14, 2013
- “The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers,” Schulte Alert, July 24, 2013 (co-author)
- “SEC Enforcement Division Increases the Pace of Rule 105 Investigations,” Schulte Alert, June 28, 2013 (co-author)
- “The Long View: On Hedge Fund Marketing,” HFMWeek, April 25, 2013
- "The SEC's New 'Presence Exams,'" The Investment Lawyer, Dec. 2012 (co-author)
- “The Long View: Why Working Through Every Item on an Extensive Checklist May Obscure the Bigger Risks – Particularly Conflicts of Interest,” HFMWeek, Nov. 21, 2012 (co-author)
- “SEC Announces ‘Presence Exams’ for Newly-Registered Investment Advisers,” Schulte Alert, Oct. 9, 2012 (co-author)
- “The Long View: How Hedge Fund Advertising Has Been Impacted by the JOBS Act,” HFMWeek, Aug. 23, 2012 (co-author)
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012 (co-author)
- “EEOC Issues New Guidance Regarding Applicants and Employees with Criminal Records,” Schulte Alert, June 12, 2012 (co-author)
- “The Long View: U.S. Regulation of Private Fund Managers, Beyond Dodd-Frank,” HFMWeek, May 8, 2012 (co-author)
- “FSOC Issues Final Rule on Designating Nonbanks as ‘Systemically Important’ – What Private Fund Managers Need to Know,” Schulte Alert, April 12, 2012 (co-author)
- “Registration of Investment Advisory Affiliates,” The Harvard Law School Forum on Corporate Governance and Financial Regulation, Feb. 24, 2012 (co-author)
- “The Long View: An Overview of the Key Pieces of U.S. Regulation Set to Impact Private Fund Managers in 2012,” HFMWeek, Feb. 2, 2012 (co-author)
- “CFTC Finalizes Significant Rule Changes Affecting Fund Managers and Investment Companies,” Schulte Alert, Feb. 10, 2012 (co-author)
- “SEC Staff Issues Guidance on Registration of Investment Advisory Affiliates,” Schulte Alert, Jan. 23, 2012 (co-author)
- “Final Rules for the Private Fund Investment Advisers Registration Act of 2010,” Schulte Memorandum, Aug. 8, 2011 (co-author)
- “Expert Networks: New Commentary by SEC Officials About Insider Trading,” Schulte Alert, March 25, 2011 (co-author)
- “Government Ratchets Up Investigation Into Insider Trading Involving Expert Networks,” Schulte Alert, Dec. 17, 2010 (co-author)
- “Insider Trading Update – SEC v. Cuban,” Schulte Alert, Sept. 22, 2010
- “SEC Investigations After Dodd-Frank: A Primer for Hedge Fund Managers and Their In-House Counsel,” Schulte Alert, Sept. 7, 2010
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, Sept. 2010 (co-author)
- “Financial Crisis Inquiry Commission Sends Out Hedge Fund Industry Market Risk Survey,” Schulte Alert, June 25, 2010
- “Financial Regulatory Reform: Key Issues for Private Fund Managers,” Schulte Alert, May 18, 2010
- “New Regulatory Scrutiny of Communications Among Hedge Fund Managers,” Schulte Alert, March 11, 2010
- “Update on Privacy Requirements Affecting Private Investment Fund Managers,” Schulte Memorandum, Feb. 26, 2010
- “SEC Adopts New Short-Selling Restrictions,” Schulte Alert, Feb. 25, 2010
- “Analysis of the SEC’s New Amendments to the Custody Rule,” Schulte Memorandum, Feb. 1, 2010
- “Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management for the Securities Industry, Sept.-Oct. 2009
- “SEC Proposes ‘Pay to Play’ Prohibitions,” Schulte Alert, Aug. 13, 2009
- “Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” Schulte Memorandum, July 30, 2009
- “Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” Schulte Memorandum, June 4, 2009
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2009
- “FSA Confirms Relaxation of Ban on Short Selling; Retains Disclosure Obligation,” Schulte Alert, Jan. 14, 2009
- “FSA Proposes to Relax Ban on Short Selling but Retain Disclosure Obligation,” Schulte Alert, Jan. 6, 2009
- “SEC Form SH Filing Notice,” Schulte Alert, Dec. 24, 2008
- “FSA Clarifies Short Sale Disclosure Requirements,” Schulte Alert, Oct. 31, 2008
- “Update on SEC Form SH Filing Requirements,” Schulte Alert, Oct. 23, 2008
- “SEC Extends Emergency Orders,” Schulte Alert, Oct. 3, 2008
- “Registered Investment Advisers Required to Provide Notifications of Changes to Custody Arrangements,” Schulte Alert, Sept. 30, 2008
- “SEC Issues Guidance on Form SH,” Schulte Alert, Sept. 26, 2008
- “FSA Clarifies Short Sale Prohibition and Disclosure Requirements,” Schulte Alert, Sept. 25, 2008
- “SEC Amends Emergency Order Banning Short Sales of Financial Firm Securities,” Schulte Alert, Sept. 23, 2008
- “SEC Announces ‘Sweeping Expansion’ of Its Investigation of Short Selling by Hedge Funds and Other Market Participants; Will Include Subpoenas and Require Statements Under Oath About Activity/Positions in Financial Services Company Stocks and Credit Default Swaps. NYSE Regulation and FINRA Conduct Parallel Inquiry Through Onsite Visits to Broker-Dealers,” Schulte Alert, Sept. 22, 2008
- “SEC Bans Short Selling and Imposes New Disclosures,” Schulte Alert, Sept. 19, 2008
- "FSA Bans Short Selling in Financial Stocks and Requires Daily Short-Position Disclosures,” Schulte Alert, Sept. 19, 2008
- “SEC Adopts New Short Sale Rules,” Schulte Alert, Sept. 18, 2008
- “UK FSA Issues Guidance on New Short Selling Rule,” Schulte Alert, June 18, 2008
- “UK FSA Rule on Short Selling in Rights Issues Effective 20 June 2008,” Schulte Alert, June 16, 2008
- “Regulators Investigating Market Rumors,” Schulte Alert, March 28, 2008
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2008
- “Special Regulatory Issue,” Schulte Investment Management Developments, Fall 2007
- “Regulation of Fraudulent Market Activities,” Federal Securities Exchange Act of 1934 (Matthew Bender), 2006 (co-author) Supplements 2008 and 2009
- “Money Laundering and Suspicious Activity Reporting: What’s a Broker-Dealer to Do?,” 1046 PLI/CORP. 293, 1998 (co-author)
- “Proposed Rules Regarding the Responsibilities of Securities Clearing Firms for Their Introducing Brokers,” Schulte Securities Law Developments, Fall 1997 (co-author)
-
"Behind the Numbers: A Webinar Discussing P&I's 15th Annual Hedge Fund Survey," Pensions & Investments and ASC Advisors, LLC Joint Webinar, September 2024
- "SEC Inspections and Examinations of Private Equity and Hedge Funds," PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, September 2024
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“What happens when the worst happens: navigating through an enforcement action,” AIMA Global Policy & Regulatory Forum, March 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “SEC seeks sweeping rule change addressing fund manager regulations,” CNBC Fast Money Halftime Report, July 2023
- “SEC Seeks Rule Change that Could Cause Fund Managers to Take Less Risk,” CNBC Squawk Box, July 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Fireside Chat: What's Next from the SEC?,” MFA Legal and Compliance, May 2022
- “Private Funds - Regulatory and Litigation,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “State of Affairs: The Industry Perspective,” MFA Legal and Compliance, July 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “The Changing Regulatory Landscape,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “State of Affairs: The Industry Perspective,” MFA Legal & Compliance 2020 Virtual Conference, July 2020
- “Board Representation and MNPI Controls,” Schulte Webinar, June 2020
- “Upcoming BE-10 Survey: What Private Fund Managers Need to Know,” Schulte Webinar, May 2020
- “The ABCs of ESG,” Schulte Webinar, April 2020
- “Regulatory Compliance 2020” and “Regulatory,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Webinar, November 2019
- PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, October 2019
- Schulte Current Examination Issues for Credit Funds Roundtable, September 2019
- “Upcoming TIC Filings,” Schulte Webinar, August 2019
- “Consultant Engagements and Attorney-Client Privilege Update,” Schulte Webinar, May 2019
- “Dealing with Conflicts,” Schulte 7th Annual Private Equity Fund Conference, May 2019
- “Fireside Chat: Achieving Optimal Performance Management and Applying New Data to People Analytics,” MFA West 2019, March 2019
- “Regulatory Compliance 2019” and “Regulatory Outlook,” Schulte 28th Annual Private Investment Funds Seminar, January 2019
- “SEC Inspections and Examinations of Private Hedge and Equity Funds,” PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018, October 2018
- “CCO Liability,” ACA Fall 2018 Compliance Conference, October 2018
- “Insights about Significant Legal and Compliance Developments that Impact Investment Management Professionals,” Duff & Phelps Breakfast Roundtable, September 2018
- “Regulatory Changes and Updates from the First Two Years in the New Administration,” Corporate Counsel 30th Annual General Counsel Conference, September 2018
- Deutsche Bank Co-Investment Considerations, New York, September 2018
- “FAQ – Cryptocurrency,” Schulte London Investment Management Hot Topics, July 2018
- “Regulatory Examinations and Current Areas of Focus,” Goldman Sachs 21st Annual Hedge Fund Conference, May 2018
- “Creating a Best-In-Class Compliance Training Program: Training the Trainer,” Goldman Sachs 4th Annual Legal and Regulatory Seminar, March 2018
- “SEC Keynote Fireside Chat: Priorities and Outlook,” MFA Legal & Compliance 2018, New York, March 2018
- “Regulatory Compliance 2018” and “Regulatory Outlook,” Schulte 27th Annual Private Investment Funds Seminar, January 2018
- “Monitoring Communications: Electronic, Social Media and More,” ACA Compliance Group Fall 2017 Compliance Conference, October 2017
- Managed Funds Association COO Forum, October 2017
- “Developing Talent Across All Generations,” JP Morgan COO Symposium, September 2017
- “The New Form ADV – Strategy and Preparation,” Schulte Webinar, September 2017
- “Investment Management Regulatory & Compliance Update – Texts, Chats and Other Electronic Messaging,” Schulte Webinar, July 2017
- Schulte Insider’s Guide to Government Investigations: Winning Strategies for Investment Funds, June 2017
- “Operational Best Practices,” Schulte 5th Annual Private Equity Fund Conference, May 2017
- “A Step-by-Step Guide to Form ADV Changes,” IA Watch IA Compliance: The Full 360° View – Compliance Solutions for a Rapidly Changing Regulatory World, April 2017
- Schulte Insider's Guide to Government Investigations: Winning Strategies for Investment Funds, April 2017
- Goldman Sachs 3rd Annual Legal and Regulatory Seminar, March 2017
- “The Regulation of Alternative Funds,” Grant Thornton Hedge Fund & Private Equity Emerging Manager Forum New York, March 2017
- “Regulatory Outlook,” Schulte 26th Annual Private Investment Funds Seminar, January 2017
- “Regulatory Landscape – Regulations Impacting Investment Management,” J.P. Morgan The COO of Tomorrow Program, October 2016
- UBS SEC Examination and Trend Updates, October 2016
- ACA Compliance Group Horizon Day, October 2016
- “Pay-to-Play: Don’t Get Caught Out This Election Season,” Fund Intelligence Briefing, July 2016
- Schulte Managing Attorney-Client Privilege: A Workshop for Private Fund GCs and CCOs, July 2016
- Goldman Sachs Nineteenth Annual Hedge Fund Conference, May 2016
- Moderator, “Fireside Chat: Compliance Priorities for the SEC,” MFA Compliance Conference, May 2016
- “RIA Regulations,” KPMG Real Estate Investment Advisor Luncheon, January 2016
- “The New Regulatory Challenges” and “Recent Examinations: Substantive Areas of Regulatory Focus,” Schulte 25th Annual Private Investment Funds Seminar, January 2016
- HFMWeek U.S. Breakfast Briefing: Conflicts of Interest and Marketing Failures: Keeping on the Right Side of the SEC, November 2015
- “Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section Committee Fall Meeting, November 2015
- “SEC Inspections and Examinations of Private Equity and Hedge Funds,” PLI Hedge & Private Fund Enforcement & Regulatory Developments Seminar, November 2015
- “Legal and Regulatory Trends and Developments,” Goldman Sachs Thirteenth Annual Hedge Fund Seminar, November 2015
- “Incentivizing Whistleblowing to the Government,” NYU Journal of Law & Business Fall Conference: Whistleblowing and Corporate Change, October 2015
- “Regulatory and Compliance,” Schulte 3rd Annual Private Equity Fund Conference, June 2015
- Goldman Sachs Eighteenth Annual Hedge Fund Conference, May 2015
- “Emerging Issues in Hedge Fund Compliance and Professional Ethics,” Managed Funds Association Compliance Conference, May 2015
- “Political Contributions and Paying to Play,” ACA Compliance Group Spring Compliance Conference, April 2015
- “Compliance – Newest Changes and How to Deal with Highest Risk Area of a Hedge Fund,” Bank of America Merrill Lynch COO/CFO Hedge Fund Symposium, March 2015
- “Private Funds: Their Exams and Enforcement Issues,” University of Texas School of Law 37th Annual Conference on Securities Regulation and Business Law, February 2015
- “GC and CCO Risks and Safeguards: Ethics in Practice” and “Regulatory Outlook: Exams, Enforcement and AIFMD,” Schulte 24th Annual Private Investment Funds Seminar, January 2015
- Schulte Employment & Employee Benefits Luncheon for Investment Managers, December 2014
- “Staying Ahead of the Curve(ball): How to Respond as Authorities Shift Focus from Creating New Regulations to Enforcing Them,” Houlihan Lokey 2014 Alternative Asset Valuation Symposium, November 2014
- “SEC Inspections and Examinations of Hedge and Private Equity Funds,” PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments Seminar, November 2014
- “Effective Annual Compliance Reviews,” Goldman Sachs Twelfth Annual Hedge Fund Seminar, November 2014
- ACA Compliance Group and ACA Insight Fall 2014 Compliance Conference, October 2014
- “Private Equity Fund Compliance Update,” Schulte Webinar, July 2014
- “Recent Enforcement and Other Regulatory Issues,” PLI Fifteenth Annual Private Equity Forum, July 2014
- Schulte Cybersecurity: Obligations and Expectations for Investment Fund Managers Breakfast, May 2014
- Goldman Sachs Seventeenth Annual Hedge Fund Conference, May 2014
- American Bar Association Business Law Section Spring Meeting, April 2014
- Schulte Liability Insurance Luncheon for Investment Fund Managers, March 2014
- “Marketing Opportunities and Challenges,” Schulte London Investment Management Hot Topics, March 2014
- Institutional Investor Corporate Funds Roundtable, March 2014
- “Making Sense of the Global Regulatory Environment for Operational Risk Professionals,” Alpha Research Group 2014 Operations for Alternatives, March 2014
- Citi Prime Finance How to Prepare for an SEC Examination, March 2014
- Bank of America Merrill Lynch Emerging Manager COO/CFO Conference, February 2014
- “The Regulatory Environment: Maze/Minefield,” Institutional Investor Alternative Investor Institute Senior Delegates Roundtable, February 2014
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 23rd Annual Private Investment Funds Seminar, January 2014
- “Preparing for Regulatory Inspections,” Goldman Sachs 13th Annual Hedge Fund Conference, November 2013
- Kinetic Partners Global Regulatory Outlook 2014 Launch, November 2013
- “Opening Armchair Chat with Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2013
- “AIFM Directive Marketing Rules for US, EU and Non-EU AIFMs,” Schulte AIFM Directive Update: Requirements for Private Fund Managers Webinar Series, October 2013
- “Annual Compliance Reviews of Registered Advisers in the New Era,” Schulte Investment Management Hot Topics, October 2013
- “The SEC’s Custody Rule,” New York State Society of CPAs Seminar, September 2013
- “‘Bad Actor’ Disclosure and Disqualification Provisions of Rule 506,” Schulte Webinar, September 2013
- “Fund Sales: Must the Broker Be Registered?” American Law Institute Webinar, August 2013
- “Alternative Investment Management: Surviving an SEC Examination,” American Bar Association Business Law Section Annual Meeting, August 2013
- “The JOBS Act: Public Offerings and Private Placements,” ACA Compliance Group Webinar, July 2013
- “Marketing and Advertising Compliance,” FRA Hedge Fund Accounting and Compliance Forum, July 2013
- Deutsche Bank SEC Presence Exams: What to Expect and How to Prepare, May 2013
- Goldman Sachs Sixteenth Annual Hedge Fund Conference, May 2013
- “Identity Theft Rules: Crafting Appropriate Policies for Private Fund Managers,” Schulte Webinar Workshop, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “AIFMD for EU Private Fund Managers: Remuneration Rules,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, April 2013
- “Allocation of Investment Opportunities Workshop,” Schulte Investment Management Hot Topics, April 2013
- “Compliance and Regulatory Examinations,” Schulte London Investment Management Hot Topics, March 2013
- “AIFMD for US Private Fund Managers,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, March 2013
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 22nd Annual Private Investment Funds Seminar, January 2013
- “Private Equity Fund Managers: Developments in Marketing, Compliance and SEC Exams,” Schulte Investment Management Hot Topics, November 2012
- “Securities Law Compliance – Insider Trading,” Columbia Business School Private Equity Program, October 2012
- “Increasing Demands for Transparency: Form PF, OPERA, AIFMD,” Deutsche Bank’s Global Prime Finance Hedge Fund Conference, September 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Form PF: A Roundtable Discussion for $5B+ Hedge Fund Managers,” Schulte Conference, June 2012
- Goldman Sachs Fifteenth Annual Hedge Fund Conference, May 2012
- “The SEC Exam Process and Compliance Concerns,” Managed Funds Association SEC Compliance Priorities Seminar, April 2012
- “Registration of Private Fund Managers: Who Needs to Register? How to Analyze Global Firms?,” New York City Bar Association Seminar: The Challenges of Regulatory Implementation Faced by Private Investment Funds and Their Managers, April 2012
- “Regulatory & Compliance Insights,” Schulte London Investment Management Hot Topics, February 2012
- “SEC Registration of Investment Advisers: New No-Action Letter Permitting Related Advisers to File Single Form ADV,” American Bar Association Webinar, February 2012
- “Compliance Spotlight” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, January 2012
- “Identifying and Addressing Conflicts of Interest,” ACA Compliance Group Fall Compliance Conference, September 2011
- “New Registration Rules Applicable to PE and VC Managers,” American Bar Association Annual Meeting, August 2011
- “Implementing a Post-Registration Compliance Program,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011
- “How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” Schulte Investment Management Hot Topics, May 2011
- “SEC Registration, Examination & Audit Regulatory Reform Status Report,” Managed Funds Association Chief Financial Officer Forum, April 2011
- “Primary Research – Expert Networks, Channel Checking and Compliance,” National Organization of Investment Professionals Spring Conference, April 2011
- “The New Framework for Adviser Regulation,” PLI Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers, March 2011
- “The Impact of Recent U.S. Regulatory Initiatives,” International Bar Association 12th Annual Private Investment Funds Conference, March 2011
- “SEC Regulatory Update,” ACA Compliance Group Spring Compliance Conference, March 2011
- J.P. Morgan A Practical Roadmap to Registration and New Investor Demands: What You Need to Know to Steer Clear of Associated Pitfalls & Risks, January 2011
- “Compliance Spotlight” and “Managing Compliance Strategically,” Schulte 20th Annual Private Investment Funds Seminar, January 2011
- “Private Equity Investment Adviser Registration,” Schulte Investment Management Hot Topics, December 2010
- Goldman Sachs Annual Hedge Fund Conference, November 2010
- Alternative Investment Financial Executives Association Private Equity and Venture Capital Funds Boot Camp, November 2010
- “Policies and Procedures Part I – Preventing Violations: Begin with a Fundamental Assessment of Your Business,” Hedge Fund Business Operations Association and Financial Research Associates Fifth Annual Meeting of the Hedge Fund Business Operations Association, October 2010
- “Life as a Registered Fund,” Alternative Investment Financial Executives Association General Membership Meeting, New York Chapter, October 2010
- “Managing Compliance Strategically,” Schulte Investment Management Hot Topics, October 2010
- “New Oversight and Supervision of Advisers,” Managed Funds Association New Regulatory Reforms: The Impact on Your Business, August 2010
- “Running Your Business as an RIA,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010
- New York Society of Security Analysts Alternative Analysts’ Forum: How Regulation is Changing the Hedge Fund Industry, April 2010
- “Spotlight on Compliance: Key Issues for 2010,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “Connecting the Multiple Dimensions of Financial Reporting: Regulatory, Investor and Internal Perspectives,” Financial Research Associates Accounting, Auditing & Risk-Control Standards for Hedge Funds, December 2009
- “Insider Trading Law and the New SEC Enforcement Environment,” Deutsche Bank’s Global Prime Finance Client Dinner, November 2009
- “Preparing for SEC Examinations of Private Fund Advisers,” Schulte Investment Management Hot Topics, November 2009
- “U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers,” Schulte Audio Conference Series, October 2009
- “Understanding the Legal Issues,” Alternative Investment Financial Executives Association Meeting, September 2009
- “Preparing for SEC Registration and New Reporting Requirements,” Schulte Investment Management Hot Topics, September 2009
- “Recent Legislative Developments for Hedge Funds,” New York State Bar Association Structured Products & Derivatives Law Committee Luncheon, September 2009
- “New Alternatives to the Custody/Prime Broker Model,” Managed Funds Association Adapting to Changes in Custody and Prime Brokerage for Hedge Fund Managers, September 2009
- “Hedge Funds: Registration and the New Regulatory Landscape,” Reuters Hedge Fund Webinar, September 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Current U.S. Congressional Proposals for Hedge Fund Regulation,” Schulte Audio Conference Series, February 2009
- “Spotlight on Compliance: Key Issues for 2009” and “Current SEC Investigations and Enforcement Actions,” Schulte 18th Annual Private Investment Funds Seminar, January 2009
- “Compliance Programs,” Schulte Investment Management Hot Topics Seminar, October 2008
- “Market Rumors,” Schulte Greenwich Private Investment Funds Seminar, September 2008
- “Regulation and Compliance Roundtable: Top Examination & Enforcement Priorities,” Financial Research Associates Sixth Hedge Fund Accounting & Administration Forum, July 2008
- “The Accountant’s Guide to Surviving an SEC or NFA Examination,” Financial Research Associates 10th Effective Hedge Fund Tax Practices Conference, May 2008
- “Hear Directly from the Regulators,” Financial Research Associates Fifth Hedge Fund Accounting and Administrative Conference, May 2008
- “Spotlight on Compliance: Key Issues for 2008” and “Addressing Conflicts of Interest,” Schulte 17th Annual Private Investment Funds Seminar, January 2008
- “Current Examination Issues,” “Referrals to Enforcement” and “The Exit Interview and Deficiency Letter Process,” West LegalWorks SEC Inspections Workshop for Investment Advisers and Investment Companies, July 2007
- “Litigation Trends Across the Hedge Fund Industry and Investor Rights,” Institute for International Research Hedge Fund Regulation & Compliance Seminar, April 2007
- “Regulatory Sweeps: Past, Present & Future,” Schulte Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006
- Hedge Funds Subcommittee of the Federal Regulation of Securities Committee, American Bar Association
- Steering Committee of the Outside Counsel Forum, Managed Funds Association
- Private Investment Funds Committee, New York City Bar Association
- Chambers Global – Band 1
- Chambers USA – Band 1
- The Legal 500 US
- Best Lawyers in America
- Who’s Who Legal: The International Who’s Who of Private Funds Lawyers
-
“5 SEC commissioners head to Capitol Hill,” Pensions & Investments, October 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules,” The Wall Street Journal, June 5, 2024 (quoted)
- “SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings to Date,” Schulte Alert, May 28, 2024
- “Marketing Rule FAQ – Impact of Subscription Lines of Credit on Presentation of Net IRRs” Schulte Alert, March 7, 2024
-
“Has Gensler’s SEC pushed Wall Street too far?” Financial Times, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “Wall Street Braces for More SEC Scrutiny of AI, Private Funds,” Bloomberg Law, Dec. 28, 2023 (quoted)
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “‘They Didn't Blow Up the World’: Big Law Reacts to New SEC Fund Rules,” The American Lawyer, Aug. 24, 2023 (quoted)
- “Private fund industry prepares for battle over sweeping US rules,” Financial Times, Aug. 18, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?," Schulte Alert, Aug. 2, 2023
- “Loan market breathes sigh of relief as SEC declines to comment on Kirschner case,” Creditflux, July 24, 2023 (quoted)
- “Market relieved after SEC declines to weigh in on loan securities court case,” Refinitiv Loan Connector, July 20, 2023 (quoted)
- CNBC Delivering Alpha Newsletter, July 7, 2023 (quoted)
- “SEC seeks rule change that could cause fund managers to take less risk,” CNBC, July 7, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “Get to the Point (of Sale): Client-Facing Possibilities for Law Firm Professional Staff,” LawVision, June 12, 2023 (quoted)
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “'A Juggernaut of Rules' as Hedge Funds Brace for SEC Scrutiny in '23,” FundFire, Dec. 21, 2022 (quoted)
- “Big Law Leader Calls For More Inclusive Policies Around Business Professionals,” The American Lawyer, Dec. 1, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- “Cracking Down on a Wall Street Trend: E.S.G. Makeovers,” DealBook Morning Newsletter (The New York Times), Sept. 17, 2022 (quoted)
- “SEC's New Hedge Fund Proposal Leaves Some Wary Of Hacks,” Law360, Aug. 16, 2022 (quoted)
- “Voya Financial’s Acquisition of Czech Asset Management,” Global Legal Chronicle, Aug. 9, 2022 (featured)
- “Schroders’ Acquisition of a Minority Stake in Forteus,” Global Legal Chronicle, Aug. 8, 2022 (featured)
- Securities Enforcement Quarterly, Schulte Publication, August 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Wall Street's Lawyers Attack SEC Effort to Crush Greenwashing,” Bloomberg, June 1, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Proposal to Redefine the Definition of ‘Dealer’ Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “Private Capital, Investment Management Fuel Strong Bounceback Year for Schulte,” The American Lawyer, April 6, 2022
- "DOL Compliance Guidance on Plan Investments in Digital Assets," Schulte Alert, March 16, 2022
- "SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- "SEC Proposes New Rules for Private Fund Managers," Schulte Alert, Feb. 9, 2022
- "SEC Proposes Substantial Increases to Form PF Reporting," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Harvard Law School Forum on Corporate Governance, Feb. 2022
- "SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022
- Securities Enforcement Quarterly, Schulte Publication, Jan. 2022
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021; republished in Law360, Nov. 30, 2021
- "SEC's Proxy Voting Proposal Could Shake Up Private Funds," Schulte Alert, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, Nov. 2021
- “NFA Excludes Certain Remote Work Arrangements From Its Branch Office Definition,” Schulte Alert, Oct. 7, 2021
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- “SEC Charges Novel Insider Trading Case and Shines a Spotlight on ‘Shadow Trading,’” Schulte Alert, Aug. 19, 2021
- “Reminder: NFA Member Managers and Virtual Currency Disclosures,” Schulte Alert, Aug. 4, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- “SEC Focus on Private Fund Valuation Practices,” Reuters Westlaw, May 11, 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Recent Short Squeezes,” Schulte Alert, Jan. 28, 2021
- “Unique Issues With Fully Remote OCIE Exams, and How Sponsors Can Withstand the Agency’s Focus on Alternative Data (Part One of Two),” Private Equity Law Report, Dec. 8, 2020 (quoted)
- “New SEC Guidance on Compliance Responsibilities of Fund Managers and Chief Compliance Officers,” Schulte Alert, Nov. 23, 2020
- “Private Funds Regulatory Update,” Schulte Update, Nov. 2020
- “Private Funds Regulatory Update,” Schulte Update, Oct. 2020
- “Private Funds — Market Trends Report,” Schulte Publication, Oct. 2020
- “SEC Proposes Limited Exemption for Finders,” Schulte Alert, Oct. 9, 2020
- “How Fund Managers Can Prepare for SEC Remote Examinations During the Coronavirus Pandemic,” Private Equity Law Report, Sept. 1, 2020 (quoted)
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2020; republished in The Hedge Fund Journal, Sept. 2020
- “Hedge Fund Surveillance Issues Mount as Regulators Renew Focus,” FT FundFire, Aug. 19, 2020 (quoted)
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, Aug. 17, 2020; republished in Law360, Aug. 27, 2020
- “Private Funds Regulatory Update,” Schulte Update, July 2020
- “SEC Identifies Private Fund Deficiencies: Conflicts of Interest, Fees and Expenses, and MNPI Controls,” Schulte Alert, June 30, 2020; republished in the Harvard Law School Forum on Corporate Governance, July 27, 2020
- “LIBOR Transition: SEC Announces Examination Initiative,” Schulte Alert, June 23, 2020
- “Supreme Court Limits Disgorgement in SEC Enforcement Actions,” Schulte Alert, June 23, 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “Private Funds – Market Trends Report,” Schulte Publication, May 13, 2020
- “At Schulte Roth, COVID-19 Pandemic Accelerates New Leadership Goals,” New York Law Journal, May 11, 2020
- “Private Funds Regulatory Update,” Schulte Update, May 2020
- “SEC Form CRS: OCIE Announces Examination Focus,” Schulte Alert, April 10, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “Regulatory Update – Limited SEC Form ADV and PF Filing Relief Now Extended to June 30, 2020,” Schulte Alert, March 30, 2020
- “Private Funds – Ideas for Raising New Capital During the COVID-19 Dislocation,” Schulte Publication, March 26, 2020; republished in The Hedge Fund Journal, May 2020
- “Enforcement Update: Insider Trading and COVID-19 Political Intelligence,” Schulte Alert, March 25, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “SEC Update: New FAQs on ADV and Custody Rule Issues (COVID-19),” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “Form ADV – Coronavirus Update for Private Fund Managers – Limited SEC Form ADV and Form PF Filing Relief,” Schulte Alert, March 15, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “Protecting Firms Through Policies and Procedures, Training, and Testing,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2020
- “Sanctions Update: DOJ Revises Voluntary Self-Disclosure Policy for Export Control and Sanctions Violations,” Schulte Alert, Jan. 2, 2020
- “Private Funds Regulatory Update – CFTC Regulatory Roundup,” Schulte Update, Dec. 2019
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC’s Disgorgement Authority Under Review,” Schulte Alert, Nov. 22, 2019
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Memorandum, Nov. 2019
- “SEC Proposes Advertising and Cash Solicitation Rules Overhaul,” Schulte Alert, Nov. 6, 2019 (co-author); republished in The Hedge Fund Journal, Nov./Dec. 2019
- “SEC Final Interpretation of IA Standard of Conduct,” Schulte Update republished in The Hedge Fund Journal, Oct. 2019
- “The SEC’s Focus on Value-Added Investors,” The Hedge Fund Journal, Sept. 2019
- “The Darlings of Hedge Funds, Despite the Rhetoric,” HFMWeek, Sept. 11, 2019
- “Private Funds Regulatory Update,” Schulte Update, Aug. 2019
- “Best Practices for Hedge Fund Managers to Mitigate the Conflicts Arising From Managed Accounts: Dealing With Enhanced Transparency and Liquidity (Part Two of Three),” Hedge Fund Law Report, July 25, 2019 (quoted)
- “Why Managed Accounts Present Conflicts of Interests for Hedge Fund Managers (Part One of Three),” Hedge Fund Law Report, July 18, 2019 (quoted)
- “SEC advertising rule: Getting the word out,” HFM Compliance, July 3, 2019 (quoted)
- “FinCEN Assesses Civil Money Penalty Against P2P Currency Exchanger for BSA Violations,” Schulte Alert, April 26, 2019 (co-author)
- “SEC Charges Fund Manager for Improper Cross Trades,” Schulte Alert, April 8, 2019
- “SEC Publishes First-Ever No-Action Letter for a Cryptocurrency Enterprise and a Framework for when a Cryptocurrency Is a Security,” Schulte Alert, April 10, 2019 (co-author)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2013-2018; (Full Court Press), 2022 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute) (contributor)
- “SEC Charges Hedge Fund Manager with Short-and-Distort Scheme,” Schulte Alert, Sept. 14, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “OCIE Best Execution Risk Alert: Guidance and Lessons for Private Fund Managers,” Schulte Alert, July 24, 2018; republished in The Hedge Fund Journal, Nov. 2018
- “SEC Proposes Investment Adviser Standards of Conduct and Enhanced Regulation,” Schulte Alert, April 19, 2018
- “OCIE Issues Risk Alert on Fees and Expenses,” Schulte Alert, April 17, 2018
- “Regulation of Market Manipulation,” Federal Securities Exchange Act of 1934, March 2018
- “Cross-Border Implementation of MiFID II Research Provisions – SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance,” Schulte Alert, Oct. 31, 2017; republished in The Hedge Fund Journal, Oct. 2017
- “LabCFTC Releases Primer on Virtual Currencies,” Schulte Alert, Oct. 18, 2017
- “Sovereign Immunity Implications for Investment Advisers,” Compliance Corner, Oct. 2017
- “Second Circuit, in Split Decision, Overrules Limitation on Insider Trading Liability Established in U.S. v. Newman,” Schulte Alert, Aug. 28, 2017 (co-author); republished in The Hedge Fund Journal, Sept. 2017
- “Best Practices for Hedge Fund Managers Preparing for an SEC Examination,” Hedge Fund Legal & Compliance Digest, Aug. 2017 (co-author)
- “Managing Conflicts,” Private Funds Management, May 2017 (interview)
- “New Form ADV: The Impact on Private Fund Advisers,” Schulte Alert, Sept. 19, 2016; republished in The Hedge Fund Journal, Sept. 2016
- “Complying on Pay-To-Play: Tips for CCOs,” Compliance Reporter, May 19, 2016; republished in Fund Operations, July 5, 2016
- “Securities, Futures Regulators Increase Scrutiny, Expectations on Cybersecurity,” Bloomberg Brief | Financial Regulation, Oct. 23, 2015 (co-author)
- “Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” Schulte Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, Nov. 2015
- “CFTC’s Position on Bitcoin – and What It Means,” Law360, Sept. 25, 2015 (co-author)
- “Schulte Submits Commentary on SEC ADV & IAA Proposals – Concerns Over Consistency and Confidentiality,” The Hedge Fund Journal, Sept. 2015 (interview)
- “Cybersecurity Update: Takeaways from OCIE’s Examination Initiative and the NFA’s Rulemaking Proposal,” Schulte Alert, Sept. 21, 2015 (co-author)
- “CFTC Determines That Bitcoin and Other Virtual Currencies Are Commodities,” Schulte Alert, Sept. 18, 2015 (co-author)
- “The New AML Rules: Implications for Private Fund Managers,” Schulte Alert, Sept. 8, 2015 (co-author); republished in The Hedge Fund Journal, Sept. 24, 2015
- “SEC Examinations of Private Fund Advisers,” The Review of Securities & Commodities Regulation, June 17, 2015
- “The Impact of United States v. Newman on the Use by Investment Advisers of Information Resources,” The Investment Lawyer, June 2015 (co-author)
- “Q&A: Legal Defences,” HFMTechnology, May 2015 (interview)
- “Proactively Addressing Hedge Fund Cybersecurity Risks,” The Hedge Fund Journal, May 2015 (interview)
- “New SEC Cybersecurity Guidance: What It Means for Fund Managers,” Schulte Alert, May 4, 2015 (co-author); republished in The Hedge Fund Journal, June/July 2015
- “SEC Whistleblower Case Challenges Restrictive Language in Confidentiality Agreements,” Schulte Alert, April 10, 2015 (co-author)
- “SEC Cybersecurity Update: OCIE Risk Alert Provides Insights for Private Fund Managers on SEC Cybersecurity Examinations,” Schulte Alert, Feb. 4, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit,” Schulte Alert, Jan. 27, 2015 (co-author); republished in The Hedge Fund Journal, Feb./March 2015
- “Second Circuit Clarifies Insider Trading Liability of Tippees,” Schulte Alert, Dec. 15, 2014 (co-author); republished in The Hedge Fund Journal, Jan. 2015
- “JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” Schulte Alert, Sept. 11, 2014 (co-author); republished in The Hedge Fund Journal, Sept. 2014
- Schulte Insider Trading Developments Newsletter, Summer 2014 (contributor)
- “‘Knowledgeable Employees’ – Recent SEC Guidance Also Details Broker-Dealer Registrations,” The Hedge Fund Journal, March 31, 2014 (co-author)
- “Recent SEC Guidance on ‘Knowledgeable Employees’ and Broker-Dealer Registration,” Schulte Alert, Feb. 25, 2014 (co-author)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “SEC Releases ‘Bad Actor’ Rule Guidance,” Schulte Alert, Dec. 11, 2013 (co-author)
- “Reminder for Fund Managers on the November 20 Identity Theft Red Flags Rules Deadline,” Schulte Alert, Nov. 6, 2013 (co-author)
- “SEC Confirmation on ‘Soft Dollars’ Safe Harbour,” The Hedge Fund Journal, Nov. 4, 2013 (co-author)
- “SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) ‘Soft Dollars’ Safe Harbor,” Schulte Alert, Oct. 29, 2013 (co-author)
- “Reminder for Private Fund Managers: New Form D Is In Effect,” Schulte Alert, Oct. 3, 2013 (co-author)
- “How CCOs Can Prepare a Custody Rule Review,” Compliance Reporter, Sept. 23, 2013 (co-author)
- “SEC Custody Rule Update for Private Fund Managers,” Schulte Alert, Aug. 15, 2013 (co-author)
- “The Long View: Is US Regulation a New Bubble or a ‘New Normal’?,” HFMWeek, Aug. 14, 2013
- “The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers,” Schulte Alert, July 24, 2013 (co-author)
- “SEC Enforcement Division Increases the Pace of Rule 105 Investigations,” Schulte Alert, June 28, 2013 (co-author)
- “The Long View: On Hedge Fund Marketing,” HFMWeek, April 25, 2013
- "The SEC's New 'Presence Exams,'" The Investment Lawyer, Dec. 2012 (co-author)
- “The Long View: Why Working Through Every Item on an Extensive Checklist May Obscure the Bigger Risks – Particularly Conflicts of Interest,” HFMWeek, Nov. 21, 2012 (co-author)
- “SEC Announces ‘Presence Exams’ for Newly-Registered Investment Advisers,” Schulte Alert, Oct. 9, 2012 (co-author)
- “The Long View: How Hedge Fund Advertising Has Been Impacted by the JOBS Act,” HFMWeek, Aug. 23, 2012 (co-author)
- “The New Derivatives Definitions – What Fund Managers Need to Know,” Schulte Memorandum, Aug. 21, 2012 (co-author)
- “EEOC Issues New Guidance Regarding Applicants and Employees with Criminal Records,” Schulte Alert, June 12, 2012 (co-author)
- “The Long View: U.S. Regulation of Private Fund Managers, Beyond Dodd-Frank,” HFMWeek, May 8, 2012 (co-author)
- “FSOC Issues Final Rule on Designating Nonbanks as ‘Systemically Important’ – What Private Fund Managers Need to Know,” Schulte Alert, April 12, 2012 (co-author)
- “Registration of Investment Advisory Affiliates,” The Harvard Law School Forum on Corporate Governance and Financial Regulation, Feb. 24, 2012 (co-author)
- “The Long View: An Overview of the Key Pieces of U.S. Regulation Set to Impact Private Fund Managers in 2012,” HFMWeek, Feb. 2, 2012 (co-author)
- “CFTC Finalizes Significant Rule Changes Affecting Fund Managers and Investment Companies,” Schulte Alert, Feb. 10, 2012 (co-author)
- “SEC Staff Issues Guidance on Registration of Investment Advisory Affiliates,” Schulte Alert, Jan. 23, 2012 (co-author)
- “Final Rules for the Private Fund Investment Advisers Registration Act of 2010,” Schulte Memorandum, Aug. 8, 2011 (co-author)
- “Expert Networks: New Commentary by SEC Officials About Insider Trading,” Schulte Alert, March 25, 2011 (co-author)
- “Government Ratchets Up Investigation Into Insider Trading Involving Expert Networks,” Schulte Alert, Dec. 17, 2010 (co-author)
- “Insider Trading Update – SEC v. Cuban,” Schulte Alert, Sept. 22, 2010
- “SEC Investigations After Dodd-Frank: A Primer for Hedge Fund Managers and Their In-House Counsel,” Schulte Alert, Sept. 7, 2010
- “Dodd-Frank Becomes Law: Key Issues for Private Fund Managers,” The Hedge Fund Journal, Sept. 2010 (co-author)
- “Financial Crisis Inquiry Commission Sends Out Hedge Fund Industry Market Risk Survey,” Schulte Alert, June 25, 2010
- “Financial Regulatory Reform: Key Issues for Private Fund Managers,” Schulte Alert, May 18, 2010
- “New Regulatory Scrutiny of Communications Among Hedge Fund Managers,” Schulte Alert, March 11, 2010
- “Update on Privacy Requirements Affecting Private Investment Fund Managers,” Schulte Memorandum, Feb. 26, 2010
- “SEC Adopts New Short-Selling Restrictions,” Schulte Alert, Feb. 25, 2010
- “Analysis of the SEC’s New Amendments to the Custody Rule,” Schulte Memorandum, Feb. 1, 2010
- “Recent Areas of Focus in SEC Examinations of Hedge Fund Advisers,” Practical Compliance & Risk Management for the Securities Industry, Sept.-Oct. 2009
- “SEC Proposes ‘Pay to Play’ Prohibitions,” Schulte Alert, Aug. 13, 2009
- “Analysis of Recent U.S. Regulatory Proposals Regarding Investment Advisers,” Schulte Memorandum, July 30, 2009
- “Analysis of the New Short Sale Rules Proposed by the Securities and Exchange Commission,” Schulte Memorandum, June 4, 2009
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2009
- “FSA Confirms Relaxation of Ban on Short Selling; Retains Disclosure Obligation,” Schulte Alert, Jan. 14, 2009
- “FSA Proposes to Relax Ban on Short Selling but Retain Disclosure Obligation,” Schulte Alert, Jan. 6, 2009
- “SEC Form SH Filing Notice,” Schulte Alert, Dec. 24, 2008
- “FSA Clarifies Short Sale Disclosure Requirements,” Schulte Alert, Oct. 31, 2008
- “Update on SEC Form SH Filing Requirements,” Schulte Alert, Oct. 23, 2008
- “SEC Extends Emergency Orders,” Schulte Alert, Oct. 3, 2008
- “Registered Investment Advisers Required to Provide Notifications of Changes to Custody Arrangements,” Schulte Alert, Sept. 30, 2008
- “SEC Issues Guidance on Form SH,” Schulte Alert, Sept. 26, 2008
- “FSA Clarifies Short Sale Prohibition and Disclosure Requirements,” Schulte Alert, Sept. 25, 2008
- “SEC Amends Emergency Order Banning Short Sales of Financial Firm Securities,” Schulte Alert, Sept. 23, 2008
- “SEC Announces ‘Sweeping Expansion’ of Its Investigation of Short Selling by Hedge Funds and Other Market Participants; Will Include Subpoenas and Require Statements Under Oath About Activity/Positions in Financial Services Company Stocks and Credit Default Swaps. NYSE Regulation and FINRA Conduct Parallel Inquiry Through Onsite Visits to Broker-Dealers,” Schulte Alert, Sept. 22, 2008
- “SEC Bans Short Selling and Imposes New Disclosures,” Schulte Alert, Sept. 19, 2008
- "FSA Bans Short Selling in Financial Stocks and Requires Daily Short-Position Disclosures,” Schulte Alert, Sept. 19, 2008
- “SEC Adopts New Short Sale Rules,” Schulte Alert, Sept. 18, 2008
- “UK FSA Issues Guidance on New Short Selling Rule,” Schulte Alert, June 18, 2008
- “UK FSA Rule on Short Selling in Rights Issues Effective 20 June 2008,” Schulte Alert, June 16, 2008
- “Regulators Investigating Market Rumors,” Schulte Alert, March 28, 2008
- “FSA Discussion Paper on Short Selling,” Schulte Alert, Feb. 17, 2008
- “Special Regulatory Issue,” Schulte Investment Management Developments, Fall 2007
- “Regulation of Fraudulent Market Activities,” Federal Securities Exchange Act of 1934 (Matthew Bender), 2006 (co-author) Supplements 2008 and 2009
- “Money Laundering and Suspicious Activity Reporting: What’s a Broker-Dealer to Do?,” 1046 PLI/CORP. 293, 1998 (co-author)
- “Proposed Rules Regarding the Responsibilities of Securities Clearing Firms for Their Introducing Brokers,” Schulte Securities Law Developments, Fall 1997 (co-author)
-
"Behind the Numbers: A Webinar Discussing P&I's 15th Annual Hedge Fund Survey," Pensions & Investments and ASC Advisors, LLC Joint Webinar, September 2024
- "SEC Inspections and Examinations of Private Equity and Hedge Funds," PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, September 2024
-
“What happens when the worst happens: navigating through an enforcement action,” AIMA Global Policy & Regulatory Forum, March 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “SEC seeks sweeping rule change addressing fund manager regulations,” CNBC Fast Money Halftime Report, July 2023
- “SEC Seeks Rule Change that Could Cause Fund Managers to Take Less Risk,” CNBC Squawk Box, July 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Fireside Chat: What's Next from the SEC?,” MFA Legal and Compliance, May 2022
- “Private Funds - Regulatory and Litigation,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “State of Affairs: The Industry Perspective,” MFA Legal and Compliance, July 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “The Changing Regulatory Landscape,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “State of Affairs: The Industry Perspective,” MFA Legal & Compliance 2020 Virtual Conference, July 2020
- “Board Representation and MNPI Controls,” Schulte Webinar, June 2020
- “Upcoming BE-10 Survey: What Private Fund Managers Need to Know,” Schulte Webinar, May 2020
- “The ABCs of ESG,” Schulte Webinar, April 2020
- “Regulatory Compliance 2020” and “Regulatory,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “New SEC Proxy Voting Guidance – What Private Fund Managers Need to Do,” Schulte Webinar, November 2019
- PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments, October 2019
- Schulte Current Examination Issues for Credit Funds Roundtable, September 2019
- “Upcoming TIC Filings,” Schulte Webinar, August 2019
- “Consultant Engagements and Attorney-Client Privilege Update,” Schulte Webinar, May 2019
- “Dealing with Conflicts,” Schulte 7th Annual Private Equity Fund Conference, May 2019
- “Fireside Chat: Achieving Optimal Performance Management and Applying New Data to People Analytics,” MFA West 2019, March 2019
- “Regulatory Compliance 2019” and “Regulatory Outlook,” Schulte 28th Annual Private Investment Funds Seminar, January 2019
- “SEC Inspections and Examinations of Private Hedge and Equity Funds,” PLI Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018, October 2018
- “CCO Liability,” ACA Fall 2018 Compliance Conference, October 2018
- “Insights about Significant Legal and Compliance Developments that Impact Investment Management Professionals,” Duff & Phelps Breakfast Roundtable, September 2018
- “Regulatory Changes and Updates from the First Two Years in the New Administration,” Corporate Counsel 30th Annual General Counsel Conference, September 2018
- Deutsche Bank Co-Investment Considerations, New York, September 2018
- “FAQ – Cryptocurrency,” Schulte London Investment Management Hot Topics, July 2018
- “Regulatory Examinations and Current Areas of Focus,” Goldman Sachs 21st Annual Hedge Fund Conference, May 2018
- “Creating a Best-In-Class Compliance Training Program: Training the Trainer,” Goldman Sachs 4th Annual Legal and Regulatory Seminar, March 2018
- “SEC Keynote Fireside Chat: Priorities and Outlook,” MFA Legal & Compliance 2018, New York, March 2018
- “Regulatory Compliance 2018” and “Regulatory Outlook,” Schulte 27th Annual Private Investment Funds Seminar, January 2018
- “Monitoring Communications: Electronic, Social Media and More,” ACA Compliance Group Fall 2017 Compliance Conference, October 2017
- Managed Funds Association COO Forum, October 2017
- “Developing Talent Across All Generations,” JP Morgan COO Symposium, September 2017
- “The New Form ADV – Strategy and Preparation,” Schulte Webinar, September 2017
- “Investment Management Regulatory & Compliance Update – Texts, Chats and Other Electronic Messaging,” Schulte Webinar, July 2017
- Schulte Insider’s Guide to Government Investigations: Winning Strategies for Investment Funds, June 2017
- “Operational Best Practices,” Schulte 5th Annual Private Equity Fund Conference, May 2017
- “A Step-by-Step Guide to Form ADV Changes,” IA Watch IA Compliance: The Full 360° View – Compliance Solutions for a Rapidly Changing Regulatory World, April 2017
- Schulte Insider's Guide to Government Investigations: Winning Strategies for Investment Funds, April 2017
- Goldman Sachs 3rd Annual Legal and Regulatory Seminar, March 2017
- “The Regulation of Alternative Funds,” Grant Thornton Hedge Fund & Private Equity Emerging Manager Forum New York, March 2017
- “Regulatory Outlook,” Schulte 26th Annual Private Investment Funds Seminar, January 2017
- “Regulatory Landscape – Regulations Impacting Investment Management,” J.P. Morgan The COO of Tomorrow Program, October 2016
- UBS SEC Examination and Trend Updates, October 2016
- ACA Compliance Group Horizon Day, October 2016
- “Pay-to-Play: Don’t Get Caught Out This Election Season,” Fund Intelligence Briefing, July 2016
- Schulte Managing Attorney-Client Privilege: A Workshop for Private Fund GCs and CCOs, July 2016
- Goldman Sachs Nineteenth Annual Hedge Fund Conference, May 2016
- Moderator, “Fireside Chat: Compliance Priorities for the SEC,” MFA Compliance Conference, May 2016
- “RIA Regulations,” KPMG Real Estate Investment Advisor Luncheon, January 2016
- “The New Regulatory Challenges” and “Recent Examinations: Substantive Areas of Regulatory Focus,” Schulte 25th Annual Private Investment Funds Seminar, January 2016
- HFMWeek U.S. Breakfast Briefing: Conflicts of Interest and Marketing Failures: Keeping on the Right Side of the SEC, November 2015
- “Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section Committee Fall Meeting, November 2015
- “SEC Inspections and Examinations of Private Equity and Hedge Funds,” PLI Hedge & Private Fund Enforcement & Regulatory Developments Seminar, November 2015
- “Legal and Regulatory Trends and Developments,” Goldman Sachs Thirteenth Annual Hedge Fund Seminar, November 2015
- “Incentivizing Whistleblowing to the Government,” NYU Journal of Law & Business Fall Conference: Whistleblowing and Corporate Change, October 2015
- “Regulatory and Compliance,” Schulte 3rd Annual Private Equity Fund Conference, June 2015
- Goldman Sachs Eighteenth Annual Hedge Fund Conference, May 2015
- “Emerging Issues in Hedge Fund Compliance and Professional Ethics,” Managed Funds Association Compliance Conference, May 2015
- “Political Contributions and Paying to Play,” ACA Compliance Group Spring Compliance Conference, April 2015
- “Compliance – Newest Changes and How to Deal with Highest Risk Area of a Hedge Fund,” Bank of America Merrill Lynch COO/CFO Hedge Fund Symposium, March 2015
- “Private Funds: Their Exams and Enforcement Issues,” University of Texas School of Law 37th Annual Conference on Securities Regulation and Business Law, February 2015
- “GC and CCO Risks and Safeguards: Ethics in Practice” and “Regulatory Outlook: Exams, Enforcement and AIFMD,” Schulte 24th Annual Private Investment Funds Seminar, January 2015
- Schulte Employment & Employee Benefits Luncheon for Investment Managers, December 2014
- “Staying Ahead of the Curve(ball): How to Respond as Authorities Shift Focus from Creating New Regulations to Enforcing Them,” Houlihan Lokey 2014 Alternative Asset Valuation Symposium, November 2014
- “SEC Inspections and Examinations of Hedge and Private Equity Funds,” PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments Seminar, November 2014
- “Effective Annual Compliance Reviews,” Goldman Sachs Twelfth Annual Hedge Fund Seminar, November 2014
- ACA Compliance Group and ACA Insight Fall 2014 Compliance Conference, October 2014
- “Private Equity Fund Compliance Update,” Schulte Webinar, July 2014
- “Recent Enforcement and Other Regulatory Issues,” PLI Fifteenth Annual Private Equity Forum, July 2014
- Schulte Cybersecurity: Obligations and Expectations for Investment Fund Managers Breakfast, May 2014
- Goldman Sachs Seventeenth Annual Hedge Fund Conference, May 2014
- American Bar Association Business Law Section Spring Meeting, April 2014
- Schulte Liability Insurance Luncheon for Investment Fund Managers, March 2014
- “Marketing Opportunities and Challenges,” Schulte London Investment Management Hot Topics, March 2014
- Institutional Investor Corporate Funds Roundtable, March 2014
- “Making Sense of the Global Regulatory Environment for Operational Risk Professionals,” Alpha Research Group 2014 Operations for Alternatives, March 2014
- Citi Prime Finance How to Prepare for an SEC Examination, March 2014
- Bank of America Merrill Lynch Emerging Manager COO/CFO Conference, February 2014
- “The Regulatory Environment: Maze/Minefield,” Institutional Investor Alternative Investor Institute Senior Delegates Roundtable, February 2014
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 23rd Annual Private Investment Funds Seminar, January 2014
- “Preparing for Regulatory Inspections,” Goldman Sachs 13th Annual Hedge Fund Conference, November 2013
- Kinetic Partners Global Regulatory Outlook 2014 Launch, November 2013
- “Opening Armchair Chat with Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2013
- “AIFM Directive Marketing Rules for US, EU and Non-EU AIFMs,” Schulte AIFM Directive Update: Requirements for Private Fund Managers Webinar Series, October 2013
- “Annual Compliance Reviews of Registered Advisers in the New Era,” Schulte Investment Management Hot Topics, October 2013
- “The SEC’s Custody Rule,” New York State Society of CPAs Seminar, September 2013
- “‘Bad Actor’ Disclosure and Disqualification Provisions of Rule 506,” Schulte Webinar, September 2013
- “Fund Sales: Must the Broker Be Registered?” American Law Institute Webinar, August 2013
- “Alternative Investment Management: Surviving an SEC Examination,” American Bar Association Business Law Section Annual Meeting, August 2013
- “The JOBS Act: Public Offerings and Private Placements,” ACA Compliance Group Webinar, July 2013
- “Marketing and Advertising Compliance,” FRA Hedge Fund Accounting and Compliance Forum, July 2013
- Deutsche Bank SEC Presence Exams: What to Expect and How to Prepare, May 2013
- Goldman Sachs Sixteenth Annual Hedge Fund Conference, May 2013
- “Identity Theft Rules: Crafting Appropriate Policies for Private Fund Managers,” Schulte Webinar Workshop, May 2013
- “What Private Funds Need to Know About the Swap Rules,” Schulte Webinar, April 2013
- “AIFMD for EU Private Fund Managers: Remuneration Rules,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, April 2013
- “Allocation of Investment Opportunities Workshop,” Schulte Investment Management Hot Topics, April 2013
- “Compliance and Regulatory Examinations,” Schulte London Investment Management Hot Topics, March 2013
- “AIFMD for US Private Fund Managers,” Schulte AIFM Directive: Requirements for Private Fund Managers Webinar Series, March 2013
- “Compliance Spotlight” and “Regulatory Examinations and Enforcement,” Schulte 22nd Annual Private Investment Funds Seminar, January 2013
- “Private Equity Fund Managers: Developments in Marketing, Compliance and SEC Exams,” Schulte Investment Management Hot Topics, November 2012
- “Securities Law Compliance – Insider Trading,” Columbia Business School Private Equity Program, October 2012
- “Increasing Demands for Transparency: Form PF, OPERA, AIFMD,” Deutsche Bank’s Global Prime Finance Hedge Fund Conference, September 2012
- “ISDA’s Dodd-Frank Protocol: What the Buy-Side Needs to Know,” Schulte Webinar, August 2012
- “Form PF: A Roundtable Discussion for $5B+ Hedge Fund Managers,” Schulte Conference, June 2012
- Goldman Sachs Fifteenth Annual Hedge Fund Conference, May 2012
- “The SEC Exam Process and Compliance Concerns,” Managed Funds Association SEC Compliance Priorities Seminar, April 2012
- “Registration of Private Fund Managers: Who Needs to Register? How to Analyze Global Firms?,” New York City Bar Association Seminar: The Challenges of Regulatory Implementation Faced by Private Investment Funds and Their Managers, April 2012
- “Regulatory & Compliance Insights,” Schulte London Investment Management Hot Topics, February 2012
- “SEC Registration of Investment Advisers: New No-Action Letter Permitting Related Advisers to File Single Form ADV,” American Bar Association Webinar, February 2012
- “Compliance Spotlight” and “Regulatory and Compliance,” Schulte 21st Annual Private Investment Funds Seminar, January 2012
- “Identifying and Addressing Conflicts of Interest,” ACA Compliance Group Fall Compliance Conference, September 2011
- “New Registration Rules Applicable to PE and VC Managers,” American Bar Association Annual Meeting, August 2011
- “Implementing a Post-Registration Compliance Program,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011
- “How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” Schulte Investment Management Hot Topics, May 2011
- “SEC Registration, Examination & Audit Regulatory Reform Status Report,” Managed Funds Association Chief Financial Officer Forum, April 2011
- “Primary Research – Expert Networks, Channel Checking and Compliance,” National Organization of Investment Professionals Spring Conference, April 2011
- “The New Framework for Adviser Regulation,” PLI Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers, March 2011
- “The Impact of Recent U.S. Regulatory Initiatives,” International Bar Association 12th Annual Private Investment Funds Conference, March 2011
- “SEC Regulatory Update,” ACA Compliance Group Spring Compliance Conference, March 2011
- J.P. Morgan A Practical Roadmap to Registration and New Investor Demands: What You Need to Know to Steer Clear of Associated Pitfalls & Risks, January 2011
- “Compliance Spotlight” and “Managing Compliance Strategically,” Schulte 20th Annual Private Investment Funds Seminar, January 2011
- “Private Equity Investment Adviser Registration,” Schulte Investment Management Hot Topics, December 2010
- Goldman Sachs Annual Hedge Fund Conference, November 2010
- Alternative Investment Financial Executives Association Private Equity and Venture Capital Funds Boot Camp, November 2010
- “Policies and Procedures Part I – Preventing Violations: Begin with a Fundamental Assessment of Your Business,” Hedge Fund Business Operations Association and Financial Research Associates Fifth Annual Meeting of the Hedge Fund Business Operations Association, October 2010
- “Life as a Registered Fund,” Alternative Investment Financial Executives Association General Membership Meeting, New York Chapter, October 2010
- “Managing Compliance Strategically,” Schulte Investment Management Hot Topics, October 2010
- “New Oversight and Supervision of Advisers,” Managed Funds Association New Regulatory Reforms: The Impact on Your Business, August 2010
- “Running Your Business as an RIA,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010
- New York Society of Security Analysts Alternative Analysts’ Forum: How Regulation is Changing the Hedge Fund Industry, April 2010
- “Spotlight on Compliance: Key Issues for 2010,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “New Legislative and Regulatory Initiatives,” Schulte 19th Annual Private Investment Funds Seminar, January 2010
- “Connecting the Multiple Dimensions of Financial Reporting: Regulatory, Investor and Internal Perspectives,” Financial Research Associates Accounting, Auditing & Risk-Control Standards for Hedge Funds, December 2009
- “Insider Trading Law and the New SEC Enforcement Environment,” Deutsche Bank’s Global Prime Finance Client Dinner, November 2009
- “Preparing for SEC Examinations of Private Fund Advisers,” Schulte Investment Management Hot Topics, November 2009
- “U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers,” Schulte Audio Conference Series, October 2009
- “Understanding the Legal Issues,” Alternative Investment Financial Executives Association Meeting, September 2009
- “Preparing for SEC Registration and New Reporting Requirements,” Schulte Investment Management Hot Topics, September 2009
- “Recent Legislative Developments for Hedge Funds,” New York State Bar Association Structured Products & Derivatives Law Committee Luncheon, September 2009
- “New Alternatives to the Custody/Prime Broker Model,” Managed Funds Association Adapting to Changes in Custody and Prime Brokerage for Hedge Fund Managers, September 2009
- “Hedge Funds: Registration and the New Regulatory Landscape,” Reuters Hedge Fund Webinar, September 2009
- “Update on Regulation of Funds and Fund Managers,” Schulte Audio Conference Series, June 2009
- “Current U.S. Congressional Proposals for Hedge Fund Regulation,” Schulte Audio Conference Series, February 2009
- “Spotlight on Compliance: Key Issues for 2009” and “Current SEC Investigations and Enforcement Actions,” Schulte 18th Annual Private Investment Funds Seminar, January 2009
- “Compliance Programs,” Schulte Investment Management Hot Topics Seminar, October 2008
- “Market Rumors,” Schulte Greenwich Private Investment Funds Seminar, September 2008
- “Regulation and Compliance Roundtable: Top Examination & Enforcement Priorities,” Financial Research Associates Sixth Hedge Fund Accounting & Administration Forum, July 2008
- “The Accountant’s Guide to Surviving an SEC or NFA Examination,” Financial Research Associates 10th Effective Hedge Fund Tax Practices Conference, May 2008
- “Hear Directly from the Regulators,” Financial Research Associates Fifth Hedge Fund Accounting and Administrative Conference, May 2008
- “Spotlight on Compliance: Key Issues for 2008” and “Addressing Conflicts of Interest,” Schulte 17th Annual Private Investment Funds Seminar, January 2008
- “Current Examination Issues,” “Referrals to Enforcement” and “The Exit Interview and Deficiency Letter Process,” West LegalWorks SEC Inspections Workshop for Investment Advisers and Investment Companies, July 2007
- “Litigation Trends Across the Hedge Fund Industry and Investor Rights,” Institute for International Research Hedge Fund Regulation & Compliance Seminar, April 2007
- “Regulatory Sweeps: Past, Present & Future,” Schulte Hedge Fund Compliance Investment Management Hot Topics Seminar, March 2006
- Hedge Funds Subcommittee of the Federal Regulation of Securities Committee, American Bar Association
- Steering Committee of the Outside Counsel Forum, Managed Funds Association
- Private Investment Funds Committee, New York City Bar Association
- Chambers Global – Band 1
- Chambers USA – Band 1
- The Legal 500 US
- Best Lawyers in America
- Who’s Who Legal: The International Who’s Who of Private Funds Lawyers
