J. Stephen King, Jr.

J. Stephen King, Jr.

Partner
Los Angeles, CA
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  • EXPERTISE
  • BLOG/PRESS/MEDIA

ABOUT

Steve has over 20 years of experience in the asset management industry, advising investment advisers and registered and unregistered funds they manage on a wide range of regulatory, corporate, disclosure, and compliance matters. He has significant experience advising on regulatory issues involved in the use of derivatives, as well as trade-related issues, particularly involving fixed income instruments, including cross-trades, trade allocations, trade errors, and affiliated transactions.

He has handled a wide range of regulatory filings and has managed the responses to numerous regulatory inquiries as well as advising on various aspects of compliance programs. Steve brings a broad and practical perspective to his practice, having served as in-house counsel at Pacific Investment Management Company (PIMCO) and the TCW Group, an associate at two large law firms, and an enforcement attorney with the Securities and Exchange Commission.

PRACTICE AREAS

ADMISSIONS

  • California 2001
  • New Jersey 1996
  • New York 1996

LANGUAGE

  • English

EDUCATION

St. John’s University School of Law
J.D., cum laude
University of Notre Dame
M.B.A., Finance
University of California, San Diego
B.A., Management Science

FUN FACTS

FAVORITE QUOTE

Favorite Quote

“In life, be a participant, not a spectator.”

Lou Holtz
  • Favorite Book
    Favorite Book

    Les Miserables by Victor Hugo

  • Favorite Song
    Favorite Song

    “Bohemian Rhapsody” by Queen

  • Favorite Vacation
    Favorite Vacation

    Maui

  • Favorite Artist
    Favorite Artist

    Salvador Dali

ALTERNATE CAREER PATH

Alternate Carrer Path

If I weren’t a lawyer, realistically speaking, I would be in finance in some capacity; however, reality aside, I would love to have been a guitarist.

PRACTICE AREAS

ADMISSIONS

  • California 2001
  • New Jersey 1996
  • New York 1996

LANGUAGE

  • English

EDUCATION

St. John’s University School of Law
J.D., cum laude
University of Notre Dame
M.B.A., Finance
University of California, San Diego
B.A., Management Science

RELEVANT EXPERIENCE

Steve served as Senior Vice President and Associate General Counsel for the TCW Group, Inc, Senior Vice President and Senior Counsel for Pacific Investment Management Company LLC, and as an Associate at Dechert. Steve started his legal career as a Staff Attorney with the Securities and Exchange Commission.

Steve’s areas of expetise include:

Investment Management, Asset Management, Financial Services, 40 Act, Advisers Act, Regulatory Compliance, Fund Formation and Registration, Investment Advisers, Regulatory issues, Derivatives, and Trade-related issues


REPRESENTATIVE MATTERS

Provided legal support to a large fixed income mutual fund complex, including handling all registration and board meeting matters.

Launched a master/feeder hedge fund structure.

Negotiated various agreements, including investment management, custody, transfer agency, distribution, servicing, non-disclosure and trading agreements.

Advised on various investment compliance issues relating to the use of derivatives.

Managed responses to SEC examinations.

Advised on fixed income trading issues, including cross trades and remediation of trade errors.

Reorganized a hedge fund into a registered investment company structure, preserving the performance record of the predecessor fund.

TALKS/SEMINARS

Panelist, SEC’s Proposed Amendments to Custody Rule, ICAA Compliance Workshop (Los Angeles, December 2, 2002)

Moderator, Complex Fund Investments, 2007 Mutual Funds and Investment Management Conference (Palm Desert, California)

Panelist, Derivatives Markets, 2007 ICI Equity, Fixed-Income & Derivatives Markets Conference (New York, New York)

Panelist, What’s on the Horizon for the Derivatives Markets?, 2010 Mutual Funds and Investment Management Conference (Phoenix, Arizona)

Panelist, Investment Company Use of Derivatives: Recent Developments, 2010 Securities Law Developments Conference (Washington, DC)

BLOG

SEC Adopts Fund Valuation Rule
SEC Adopts Fund Valuation Rule
Read More
OCIE Observations: Investment Adviser Compliance Programs
OCIE Observations: Investment Adviser Compliance Programs
Read More
OCIE Observations from Examinations of Investment Advisers
OCIE Observations from Examinations of Investment Advisers
Read More

PRESS

Mergers and Acquisitions of Investment Managers: Assignment of Investment Advisory Agreements, (coauthor with J. Rand and M. Carty) – The Investment Lawyer, June 2002, Vol. 9, No. 6 edition.


CONNECT WITH ME

At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

CONTACT ME
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