Jason E. Brown

Partner

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  • JD, cum laude, Harvard Law School, 1998; Associate Editor, Harvard Negotiation Law Review
  • BS (Economics), summa cum laude, 1995

Qualifications

  • Massachusetts, 1998
  • Spanish
  • Legal 500 (2017)
  • Chambers USA: America's Leading Lawyers for Business (2016-2018)
  • Financial Times North America Innovative Lawyers Report 2015 - Recognized for the development of a compliance service for private equity clients to ensure that they are current with SEC rules and prepared for assessments
  • Financial Times North America Innovative Lawyers Report 2014 - Recognized for structuring a new initiative to service private equity clients dealing with regulatory and compliance challenges
  • Massachusetts Super Lawyers - Rising Stars (2005-2008, 2010-2013)

Jason E. Brown

Partner

Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, hedge funds, separate accounts and commodity pools.

Experience

  • Assisted numerous leading private fund managers in registering as investment advisers with the SEC and developing Advisers Act compliance programs.
  • Worked with over 60 investment advisers on SEC examinations.
  • Regularly advise clients on SEC enforcement actions.
  • Advised a wide variety of registered investment advisers on Advisers Act and other regulatory matters as new funds or products are launched, compliance questions arise or new rules are adopted.

Publications

Presentations

  • Panelist, “Navigating New Regulation, Structural Considerations & Fund Formation / Operations,” Markets Group’s 7th Annual Private Equity US Forum (May 9, 2018) 
  • Moderator, “SEC Exams – What do they look like now?,” Private Equity International Private Fund Compliance Forum (May 8, 2018)
  • Moderator, “Private Equity Fund Advisers: Hot Topics,” IAA Investment Adviser Compliance Conference (March 16, 2018)
  • Moderator, “Regulatory Reforms and Priorities: What’s Ahead for Private Equity?,” Private Equity International CFOs & COOs Forum 2018 (January 24, 2018)
  • Speaker, “SEC Priorities for Private Equity and Venture Capital Firms,”  Private Equity CFO Association’s Boston Chapter Annual Meeting (November 9, 2017) 
  • Speaker, “Private Equity Performance Calculation and Disclosure Consideration,” ACA’s Fall 2017 Compliance Conference (October 26, 2017) 
  • Moderator, “Analysis of the Current Exam Environment and Recent Exam Activities,” Private Fund Finance & Compliance Forum 2017 (October 4, 2017) 
  • Panelist, “Private Equity Management Fees and Expenses: Avoiding Investor Claims and SEC Enforcement Actions,” Strafford webinar (August 22, 2017)
  • Speaker, “SEC Audit and Compliance Best Practices – How Current Examinations Will Shape Your Fund’s Compliance Culture,” Operations & Compliance for Alternative Investment Funds, Financial Research Associates (June 21, 2017)
  • Moderator, “Preparing to interface with the SEC during an examination,” Private Fund Compliance Forum 2017 (May 9, 2017)
  • Speaker, “Compliance Considerations and Conflicts Associated with Real Estate Managers,” ACA’s Spring 2017 Compliance Conference (May 4, 2017)
  • Panelist, “Compliance Issues for Private Equity Fund Advisers,” IAA Investment Adviser Compliance Conference (March 2, 2017)
  • Speaker, “Mitigating the Compliance Risks,” SuperReturn U.S. West 2017 (February 8, 2017)
  • Speaker, “SEC Priorities and Update,” Private Equity International CFOs & COOS Forum 2017 (January 19, 2017)
  • Speaker, “SEC Examination Continuum – The Pre Through Post Exam Experience,” Private Fund Finance & Compliance Forum 2016 (October 18, 2016)
  • Speaker, “Surviving an SEC Examination,” IAA Compliance Workshop (October 14, 2016)
  • Panelist, “Compliance Challenges on the Horizon: Form ADV Part 1 Amendments, DOL Fiduciary Rule, and AML Rule Proposal,” IAA Compliance Workshop (October 14, 2016)
  • Panelist, “SEC – Exams, Enforcement, and Rulemaking Update,” AIC Chief Compliance Officers' Working Group Meeting (September 28, 2016)
  • Speaker, “Recent Developments in SEC Exam and Enforcement Issues for PE Fund Advisers,” Investment Adviser Association Private Equity Fund Advisers Working Group (June 10, 2016)
  • Presenter, “SEC Enforcement Actions Against Private Equity Firms – A View from the Front Lines,” Private Equity International Private Fund Compliance Forum 2016 (May 10, 2016)
  • Panelist, “Accounting Considerations for Private Equity Funds,” ACA Compliance Group Spring 2016 Compliance Conference (May 5, 2016)
  • Panelist, “DOL Fiduciary Duty Rule & SEC Developments,” Private Equity Growth Capital Council Chief Compliance Officers’ Working Group Meeting (March 16, 2016)
  • Speaker, “SEC Hot Topics for 2016,” ACA Compliance Group Webcast (March 8, 2016)
  • Presenter, “A View from the Front: Practical Lessons Learned from 35 Private Equity SEC Examinations,” Ropes & Gray and Major, Lindsey & Africa’s Alternative Asset Management General Counsel Breakfast (November 17, 2015)
  • Panelist, Investment Adviser Association’s 2015 Compliance Workshop – Boston (October 27, 2015)
  • Presenter, “SEC Update,” Illinois Venture Capital Association Fifteenth Annual CFO Summit (October 22, 2015)
  • Panelist, “SEC: Hot Topics,” Private Equity International PE/VC Finance & Compliance Forum (October 6, 2015)
  • Speaker, “SEC Regulations and How it Impacts You,” The Pension Bridge Private Equity Exclusive Conference (July 20, 2015)
  • Speaker, “The SEC Exam: What We’ve Learned from Recent Exams,” Private Equity International’s Private Fund Compliance Forum 2015 (May 13, 2015)
  • Presenter, "What to Expect with the SEC’s Routine Examinations," Private Equity Tax, Operations and Compliance Forum (November 13, 2014)
  • Speaker, Investment Adviser Association Compliance Workshop, Boston (November 11, 2014)
  • Panelist, “Regulatory Discussion -- The Long Arm of the SEC,” Duff & Phelps Alternative Investments Conference (November 6, 2014)
  • Panelist, “Lessons Learned from Recent SEC Exams,” Private Equity International PE/VC Finance & Compliance Forum (September 17, 2014)
  • Presenter, “Maneuvering Your Way Through an SEC Exam,” Private Equity International Private Fund Compliance Forum (May 6, 2014)
  • Speaker, “SEC Speeches, Alerts, Deficiencies: What’s New?” Ascendant Compliance Management’s Data, Risk Analytics and Surveillance Conference (March 31, 2014)
  • Presenter, “Preparing for an SEC Exam,” Private Equity International PE/VC Finance and Compliance Forum (November 14, 2013)
  • Presenter, “SEC Developments - Examinations and Policy Considerations,” Private Equity Growth Capital Council – General Counsels Seminar (November 7, 2013)
  • Presenter, "Memoires of an SEC Exam- How to Survive and Thrive," Private Equity Operations and Compliance Forum (October 17, 2013)
  • Speaker, “Valuation Issues, SEC Examinations & Enforcement Actions,” NY Bar Association's Private Investment Funds Subcommittee Meeting (September 26, 2013)
  • Panelist, "Navigating the Changing Landscape: Valuation Practices in the Private Equity Industry," Houlihan Lokey's Private Equity Valuation Roundtable (May 14, 2013)
  • Presenter, “Private Fund Compliance Forum,” PEI (May 1, 2013)
  • Speaker, Investment Adviser Association Compliance Workshop, Los Angeles (December 6, 2012)
  • Panelist, “PE/VC Finance and Compliance Forum,” PEI (November 15, 2012)
  • Panelist, “Surviving an SEC Exam”, Private Equity Operations and Compliance Forum, Financial Research Associates (October 25, 2012)
  • Presenter, “SEC Priorities, Exams and Enforcement,” Bay Area Funds Forum (July 26, 2012)
  • Speaker, "Registered With The SEC: What's Next?" Dow Jones Private Equity Analyst Conference (July 25, 2012)
  • Presenter, "Private Equity Fund: Best Practices for Registered Investment Advisors," Duff & Phelps Roundtable Series (June 14, 2012)
  • Presenter, “Private Fund Compliance Forum,” PEI (May 2, 2012)
  • Presenter, “Private Equity Firms: Surviving the New World of SEC Regulation,” Ropes & Gray webinar (March 22, 2012)
  • Panelist, “Private Equity Portfolio Valuations in the Regulatory Spotlight: Your Questions Answered,” Houlihan Lokey webinar (February 27, 2012)
  • Presenter, “IAA Compliance Workshop,” Investment Adviser Association (December 6, 2011)
  • Panelist, “New rules governing fundraising,” PEI’s Private Fund Compliance Forum: San Francisco (December 2, 2011)
  • Panelist, "Parallel Universes: Best and Worst Practices in Valuation," Houlihan Lokey's 4th Annual Alternative Investing Summit Series (May 24, 2011)
  • Panelist, "How to Best Operate your Fund in this New Regulatory Environment," Tax Practices for Private Equity Funds (May 2011)
  • Panelist, “Due Diligence on the Valuation Process: Where is the Base Value coming from?” Due Diligence for Institutional Investors Conference (March 2011)
  • Presenter, Investment Adviser Association Compliance Workshop (November 2010)
  • Presenter, “Private Equity Compliance and Registration Best Practices,” Financial Research Associates webinar (November 2010)
  • Presenter, “SEC Registration under the Dodd-Frank Act,” Private Equity Growth Capital Council conference call with members (September 2010)
  • Presenter, “The Impact of Financial Reform: Private Equity Adviser Registration,” Ropes & Gray webcast (August 2010)
  • Presenter, “The Impact of Financial Reform: Investment Companies and Investment Advisers,” Ropes & Gray webcast (July 2010)
  • Presenter, “Portfolio Valuation and the Regulatory ‘Hot-Button’ Issues,” Valuation of Hard-To-Value Securities & Portfolios conference (March 2010)
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