Jason E. Brown
Partner
Jason Brown is a partner in the asset management group and co-head of the firm’s private funds regulatory practice. Jason has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital 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 investment advisers on over 100 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
- Co-author, “Typical Deficiencies Targeted in SEC Examinations of Advisers’ ESG-Related Policies, Procedures and Disclosures,” Private Equity Law Report (October 11, 2022)
- Co-author, “SEC Enforcement: A Practical Guide for Private Equity Fund Managers,” The Securities Litigation Review (June 3, 2022)
- Quoted, “SEC's First Asset Mgmt ESG Case Suggests More Enforcement to Come,” FundFire (May 24, 2022)
- Quoted, “SEC Examiners to Focus on ESG, Info Security, Private Funds in 2022,” FundFire (April 1, 2022)
- Quoted, “Private equity bristles at proposed SEC prohibitions,” MarketWatch (February 17, 2022)
- Quoted, “SEC crosses the Rubicon, proposes an outright ban on certain PE practices,” peHUB (February 10, 2022)
- Quoted, “SEC Signals Shift in Attempt to Ban Certain Private-Equity Practices,” The Wall Street Journal (February 10, 2022)
- Quoted, “New SEC rules for PE managers would alter long-standing industry practices,” Pitchbook (February 9, 2022)
- Co-author, “SEC Enforcement: A Practical Guide for Private Equity Fund Managers,” The Securities Litigation Review, Seventh Edition (July 2021)
- Quoted, “SEC eyes securities lending, short selling in exam priorities,” International Financial Law Review (March 11, 2021)
- Quoted, “How Sponsors Can Structure and Document Captive Debt or Equity Investments to Reduce Inherent Conflicts (Part Two of Two),” Private Equity Law Report (March 9, 2021)
- Quoted, “Retirement security could be only issue both sides accept,” Pensions & Investments (January 11, 2021)
- Quoted, “SEC Adopts Revamped Advertising Rule,” FundFire (December 22, 2020)
- Quoted, “Simultaneous Management of PE and Private Credit Funds: Use of Walls and Other Tactics to Manage MNPI Risks (Part One of Two),” Private Equity Law Report (October 13, 2020)
- Quoted, “Independent Valuation Firms: Rising Prominence of Third‑Party Valuations and Factors to Consider When Engaging a Firm (Part Three of Three),” Private Equity Law Report (October 13, 2020)
- Quoted, “Independent Valuation Firms: Rising Prominence of Third‑Party Valuations and Factors to Consider When Engaging a Firm (Part Two of Three),” Private Equity Law Report (October 6, 2020)
- Co-author, “SEC Enforcement: A Practical Guide for Private Equity Fund Managers,” The Securities Litigation Review, Sixth Edition (July 2020)
- Quoted, “SEC Says Conflicts Of Interest Abound In Private Equity,” The Wall Street Journal (June 24, 2020)
- Quoted, “SEC COVID-19 Actions: Report Exemptions Extended, Fund Borrowing Loosened,” ACA Insight (March 30, 2020)
- Quoted, “Election Special: A Reprieve for PE,” The Deal (March 26, 2020)
- Quoted, “Withstanding the Coronavirus Pandemic: Form ADV Filing Relief, Investor Communications and Liquidity Risks (Part One of Three),” Private Equity Law Report (March 24, 2020)
- Quoted, “Side Compensation Without Disclosure Leads to Court Charges Against Adviser,” ACA Insight (March 16, 2020)
- Quoted, “SEC Moves to Update Aging Advertising Rules,” Middle Market Growth (March 13, 2020)
- Quoted, “Cumming’s Take: SEC Proposals Could Relieve Some Private-Equity Headaches,” The Wall Street Journal Pro Private Equity (March 12, 2020)
- Quoted, “What Must a PE Sponsor Consider Before Launching a Private Credit Strategy? (Part One of Two),” Private Equity Law Report (February 4, 2020)
- Quoted, “2020 OCIE Exam Priorities include Standards of Conduct, Cybersecurity, Digital Assets,” ACA Insight (January 13, 2020)
- Quoted, “SEC Exams Dig Deep to Catch Private Equity Manager Lapses,” FundFire (January 15, 2020)
- Quoted, “4 Ways You Can Land More Big-Ticket Deals In 2020,” Law360 (January 1, 2020)
- Quoted, “Keep the Holidays Happy with Gift Policies and Procedures for All Situations,” ACA Insight (December 2, 2019)
- Quoted, “Ensure Advisory Contracts are Up to Date with Current Compliance Concerns,” ACA Insight (November 4, 2019)
- Quoted, “16 More Advisers Avoid Civil Money Penalties under SEC;s Share Class Initiative,” ACA Insight (October 7,2019)
- Quoted, “SEC and CFTC Settle Mispricing Charges with Hedge Fund Portfolio Manager,” ACA Insight (August 5, 2019)
- Quoted, “Why PE Clients Must Evolve Their Disclosure Practices,” Law360 (July 24, 2019)
- Co-author, “SEC Enforcement Against Private Equity: A Practical Guide for Private Funds,” The Securities Litigation Review, Fifth Edition (July 2019)
- Quoted, “Think Twice Before Providing Deficiency Letters to Clients,” ACA Insight (May 13, 2019)
- Quoted, “Testing times as the OCIE gets savvy,” Private Equity International (May 2019)
- Quoted, “Fraud Charges Demonstrate that Actions Must Match Disclosures,” ACA Insight (February 11, 2019)
- Quoted, “First-Time Funds Face Government Shutdown Pinch,” WSJ Pro Private Equity (January 18, 2019)
- Quoted, “Clayton Addresses Past and Future in Senate Testimony,” ACA Insight (January 7, 2019)
- Quoted, “Percentage of Advisers Examined Jumps 11 Percent,” ACA Insight (December 3, 2018)
- Co-author, “Regulatory Issues in Marketing PE Funds,” Private Funds Management Yearbook (December 2018)
- Co-author, “Regulatory Issues and Best Practices for Real Estate Fund Managers,” PREA Quarterly (September 24, 2018)
- Quoted, "Don’t Promise One Investment Strategy to Investors and Use Another," ACA Insight (September 24, 2018)
- Co-author, “SEC Proposals – Form CRS Client Relationship Summary for Advisers and Broker-Dealers; Best Interest Standard of Conduct for Broker-Dealers,” Wolters Kluwer’s Securities Regulation Daily (July 12, 2018)
- Co-author, “SEC Releases Proposed Adviser Conduct Standard and Request for Comment on Enhancing Adviser Regulations,” Wolters Kluwer’s Securities Regulation Daily (July 11, 2018)
- Quoted, “SEC Strategic Plan Draft Calls for Cybersecurity, Enforcement, Revisiting Rules,” ACA Insight (July 9, 2018)
- Co-author, “SEC Enforcement Against Private Equity: A Practical Guide for Private Funds,” The Securities Litigation Review Fourth Edition (June 2018)
- Quoted, “How to cope with an SEC exam,” Private Funds Management (June 28, 2018)
- Quoted, “Kreutzer’s Take: Private Equity’s Credit Conflict Conundrum,” WSJ Pro Private Equity (May 8, 2018)
- Quoted, “Clayton and Blass Defend and Seek Input on Proposed Standards of Conduct,” ACA Insight (May 7, 2018)
- Quoted, “Restricted Lists: Update, Monitor and Avoid Common Errors,” ACA Insight (April 9, 2018)
- Quoted, “The SEC Isn’t Taking Its Eye Off Private Funds,” Private Equity International (March 25, 2018)
- Quoted, “The SEC: Still Watching Private Funds,” Private Funds Management (March 16, 2018)
- Quoted, “Hedge Fund Compliance: Insider Trading, Allocation, Alternative Data, and More,” ACA Insight (January 8, 2018)
- Co-author, “The Challenge of Credit,” Private Funds Management Yearbook 2017 (November 22, 2017)
- Chapter co-author, “United States,” The Asset Management Review - 6th Edition (October 2017)
- Quoted, “Advisers: Beware of Loans Provided by Friendly Broker-Dealers,” ACA Insight (October 23, 2017)
- Co-author, “SEC Priorities for Private Equity and Real Estate Advisers,” The Review of Securities & Commodities Regulation (October 11, 2017)
- Quoted, “Inadequate Disclosure of Fee Calculations May Lead to Fee Returns,” ACA Insight (September 11, 2017)
- Quoted, “Protect Your Firm and Clients Against MNPI Risks in Bank Loan Investments,” ACA Insight (July 24, 2017)
- Quoted, “Proposed Laws Could Hurt Financial Industry in Patent Fights,” Bloomberg BNA’s Patent, Trademark & Copyright Journal (July 20, 2017)
- Quoted, “Best Practices for Hedge Fund Managers Preparing for an SEC Examination (Part Two of Two),” Hedge Fund Legal & Compliance Digest (July 14, 2017)
- Co-author, “SEC Enforcement Against Private Equity: A Practical Guide for Private Funds,” The Securities Litigation Review Third Edition (June 2017)
- Quoted, “Best Practices for Hedge Fund Managers Preparing for an SEC Examination (Part One of Two),” Hedge Fund Legal & Compliance Digest (June 30, 2017)
- Quoted, “SEC Seeks Updated Assessment on Need for Uniform Standard of Conduct,” ACA Insight (June 12, 2017)
- Co-author, “Information Update for Advisers Relying on the Unibanco No-Action Letters,” The Investment Lawyer (June 2017)
- Quoted, “Check on Disclosure Across All Firm/Client Interactions,” ACA Insight (April 17, 2017)
- Quoted, “More Private Fund Managers Use SEC Disclosure 'Cure',” FundFire (April 5, 2017)
- Co-author, “Conflicts: It’s Not Just Fees and Expenses,” American Investment Council (March 30, 2017)
- Quoted, “IA Watch Weekly Briefing,” Regulatory Compliance Watch (March 27, 2017)
- Quoted, “SEC 2017 Exam Priorities: Robo-Advisers, Money Market Funds, Cybersecurity,” ACA Insight (January 16, 2017)
- Quoted, “Dually Registered Advisers/Broker-Dealers Face Dual Examinations,” ACA Insight (September 12, 2016)
- Quoted, “SEC ratchets up Form ADV requirements,”Private Funds Management (August 30, 2016)
- Quoted, “Private Equity Adviser Exams: Fees and Expenses Likely to Dominate the Visit,” ACA Insight (August 22, 2016)
- Quoted, “Wanna Chat? Shops Face Challenges Picking Instant Messaging Services,” Ignites (August 15, 2016)
- Quoted, “House committee approves amended investment rules,” Private Funds Management (June 17, 2016)
- Quoted, “SEC Scrutinizes Firms for Broker-Dealer Activity,” Private Funds Management (June 13, 2016)
- Quoted, “SEC Case Stokes Private Equity's Broker-Dealer Dread,” FundFire (June 8, 2016)
- Quoted, “Inside the Annual Review Process,” Private Funds Management (June 1, 2016)
- Quoted, “SEC Examiners Plan PE, Hedge Fund Initiatives,” Compliance Reporter (December 9, 2015)
- Quoted, “IAs Face New AML Compliance Challenges,” Compliance Reporter (September 16, 2015)
- Interview, “Special Report Forum: Regulatory and Compliance Challenges for Private Equity Funds,” Financier Worldwide Magazine (September 2015)
- Quoted, “Government Agencies Turning Up the Heat on Fees,” Pensions & Investments (August 10, 2015)
- Quoted, “Pension Bridge: SEC Not Just Concerned With PE Management Fees,” Foundation & Endowment Intelligence (July 21, 2015)
- Quoted, “SEC’s PE Examiners Target Real Estate Funds,” Compliance Reporter (July 7, 2015)
- Co-author, “The SEC’s Current Views on Private Equity,” Private Equity Growth Capital Council Newsletter (June 26, 2015)
- Co-author, “The SEC’s Current Views on Private Equity,” Law360 (June 1, 2015)
- Co-author, “Identifying Next Year’s SEC Priorities,” PEI Manager (January 29, 2015)
- Quoted, “It’s permissible to use predecessor performance but beware of missteps,” IA Watch Weekly Briefing (January 26, 2015)
- Quoted, “SEC Tightens Screws on Private Equity,” FundFire (January 7, 2015)
- Quoted, “SEC Exams Cut Deeper into Private Equity Firms,” FundFire (November 19, 2014)
- Co-author, “Takeaways From SEC Action Against Lincolnshire,” Private Equity and Securities Law360 (September 26, 2014)
- Quoted, “PE Exemption Bill Faces Tough Road Ahead,” Private Equity Manager (September 25, 2014)
- Chapter co-author, “United States,” The Asset Management Review - 3rd Edition (September 2014)
- Quoted, “Lawyer: Guidance Doesn’t Answer PE Custody Questions," Compliance Intelligence (July 11, 2014)
- Quoted, “Certain advisers should be filing new Treasury documents this month,” IAWeek (January 20, 2014)
- Quoted, “SEC Guidance Offers 11th-Hour Muni Adviser Relief,” Compliance Intelligence (January 10, 2014)
- Quoted, “2014 Outlook: IM Firms Face Exam, Marketing Issues,” Compliance Intelligence (December 10, 2013)
- Chapter co-author, “United States,” The Asset Management Review - 2nd Edition (October 2013)
- Quoted, "A Treasury Form May Be in Your Future,” IA Week (September 2, 2013)
- Quoted, “Bad Actor Rule Said to Raise Settlement Stakes,” Compliance Intelligence (August 12, 2013)
- Quoted, “Compliance Worries May Temper Hedge Fund Ad Rush,” Compliance Intelligence (July 24, 2013)
- Quoted, “Lawyers Offer Tips On Navigating Regulatory Enforcement,” The Wall Street Journal (April 3, 2013)
- Quoted, “Oppenheimer Case Highlights CCO Valuation Work,” Compliance Intelligence (March 19, 2013)
- Quoted, “PE Firms Spot CPO Exemption Hurdle," Compliance Intelligence (September 10, 2012)
- Quoted, “Advisers Suffer Commerce Dept Forms Headaches,” Compliance Reporter (June 2012)
- Co-author, “Direct Investment Reporting — What PE Funds Must Know,” Law360 (April 30, 2012)
- Quoted, “SEC Deadline Means Investment Advisers Face Registration Burdens, Including Exam,” BNA Securities Regulation and Law Report (March 2012)
- Quoted, “Valuation My Be In The Eye Of The Beholder, But It Still Needs Paperwork,” The Wall Street Journal (February 2012)
- Quoted, “Pick Valuations Carefully, PE Firms Warned,” Institutional Investor (February 29, 2012)
- Quoted, “CFTC Registration of CPOs Highlights Regulator Split,” International Financial Law Review (February 21, 2012)
- Quoted, "SEC probe highlights valuation challenges,” Private Equity International (February 2012)
- Quoted, “New Treasury Reporting Requirement Effective Today,” Ignites (January 23, 2012)
- Co-author, “Applicability of Large Trade Rules to Private Equity Advisers,” VC Experts (January 11, 2012)
- Quoted, “Buyout Firms (Almost) Embrace The Social Network,” Private Equity Analyst (November 2011)
- Co-author, “Proposed Volcker Rule and the Effect on Private Fund Sponsors and Investors,” Hedge Fund Law Report (October 2011)
- Co-author, “How Large Trader Rules Apply To Private Equity Advisers,” Law360 (October 2011)
- Co-author, “Impact of the Private Fund Investment Advisers Registration Act on Non-U.S. Private Fund Managers,”CorporateLiveWire (August 2011)
- Co-author, “SEC Adopts Rules to Implement the Private Fund Investment Advisers Registration Act,” VCEXPERTS (June 2011)
- Co-author, “Impact of Dodd-Frank Act on Non-US Private Fund Managers,”The European Private Equity Compliance Guide (2011)
- Co-author, “Special Considerations for Private Fund Advisers under the Advisers Act,” Investment Adviser Association Newsletter (June 2011)
- Author, “Application of the Investment Advisers Act to Private Equity Advisers,” The Review of Securities & Commodities Regulation (April 2011)
- Q&A, “Amend And Extend, SEC Style,” WSJ.com (April 2011)
Presentations
- Panelist, "The SEC’s Climate and ESG Task Force: Preparing for Increased Scrutiny," Private Fund Compliance Fall Forum (November 9, 2021)
- Moderator, “Plenary Session – Conflicts of Interest: Recent Considerations (SPACs & other) for Private Fund Managers," Private Fund Compliance Spring Forum (May 13, 2021)
- Speaker, “Private Equity and the SEC: Exam and Enforcement Trends” The Knowledge Group Webcast (December 17, 2019)
- Speaker, Private Fund Finance and Compliance Forum 2019 (October 3, 2019)
- Moderator, “SEC 2019 Priorities,” Private Fund Compliance Forum 2019 (May 15, 2019)
- Moderator, “SEC Examination Priorities,” Private Fund Finance & Compliance Forum 2018 (October 4, 2018)
- Panelist, “2018 Credit Funds Forum,” Ropes & Gray (May 16, 2018)
- 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)
- Speaker, “How PE Funds Can Address and Minimize Conflict When Expanding Into Credit,” Ropes & Gray Credit Funds Podcast (May 1, 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, “Evaluating Your Information Security Program: Asset Management Firms,” Ropes & Gray (February 7, 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)
- Presenter, “General Solicitation and Bad Actors: Assessing the Impact of the JOBS Act Rules and Related Changes to Regulation D,” Ropes & Gray Webinar (August 8, 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)
- Presenter, “SEC Presence Exams: Issues for Private Equity Firms,” Ropes & Gray Webinar (February 5, 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, “Preparing for Form PF,” Ropes & Gray Webinar (June 13, 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, “Another Milestone for the AIFMD,” Ropes & Gray Webinar (January 24, 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)
Education
- JD, cum laude, Harvard Law School, 1998; Associate Editor, Harvard Negotiation Law Review
- BS (Economics), summa cum laude, The Wharton School of the University of Pennsylvania, 1995
Admissions / Qualifications
Qualifications
- Massachusetts, 1998
Awards
- The Best Lawyers in America (2023)
- Chambers Global (2022-2023)
- Who’s Who Legal Private Funds (2022)
- Legal 500 (2017)
- Chambers USA: America's Leading Lawyers for Business (2016-2019, 2021-2022)
- 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 Star (2005-2008, 2010-2013)
