Jason E. Brown

Partner

brown-jason-e
  • 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, 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 over 70 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)
Cookie Settings