Partner
Los Angeles, CA
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.
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
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.
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)
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.
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
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.
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)
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.
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
