Overview
Advises private fund managers on regulatory and compliance matters with a particular focus on the Investment Advisers Act of 1940.
Chris works with clients on a variety of regulatory matters, including SEC investment adviser registration, operating effective compliance programs, managing conflicts of interest, assessing cross-border applications of US regulatory requirements, review of marketing materials, compliance with trading-related laws and handling the regulatory implications of management company restructurings and transactions. He also regularly leads training sessions for clients, including on topics such as marketing private funds, SEC rule proposals and trading-related matters.
Chris works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He also leads compliance testing and review projects with private fund managers to identify material risks and evaluate the measures in place to address those risks. He has advised private fund managers on regulatory issues relating to blockchain technology and digital assets his entire career and actively practices in that space.
Chris actively participates in industry-related initiatives and events, and is a member of the Private Funds Subcommittee of the Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association.
He is a member of the firm’s Diversity, Equity and Inclusion Committee and the Latin Affinity Group.
Recognitions
- Chambers USA
Credentials
Education
Harvard Law School, JD, Managing Editor, Harvard Business Law Review
The George Washington University, BA, summa cum laude, Phi Beta Kappa
Admissions
New York
