Partner
Austin, TX
Steve has over 27 years of experience in the asset management industry, advising investment advisers, private funds, open- and closed-end registered investment companies and exchange-traded funds and their independent directors on a wide range of regulatory, fund governance, disclosure, and compliance matters. He has significant experience advising on the development of new investment products, registered funds’ use of derivatives, and various other regulatory and compliance matters. He also assists clients with various 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 and outside counsel, and as an enforcement attorney with the Securities and Exchange Commission.
* Not admitted to practice in Texas.
“In life, be a participant, not a spectator.”
Les Miserables by Victor Hugo
“Bohemian Rhapsody” by Queen
Maui
Salvador Dali
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.
Steve has over 27 years of experience in the asset management industry, advising investment advisers, private funds, open- and closed-end registered investment companies and exchange-traded funds and their independent directors on a wide range of regulatory, fund governance, disclosure, and compliance matters. He has significant experience advising on the development of new investment products, registered funds’ use of derivatives, and various other regulatory and compliance matters. He also assists clients with various 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 and outside counsel, and as an enforcement attorney with the Securities and Exchange Commission.
* Not admitted to practice in Texas.
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.
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