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.
“In life, be a participant, not a spectator.”
Les Miserables by Victor Hugo
“Bohemian Rhapsody” by Queen
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.
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