Matthew Mamak is a partner in the Financial Services & Products Group, concentrating his practice on the formation, structuring and management of private investment funds and publicly offered and privately placed commodity pools, debt and equity security offerings and securities regulation. He regularly advises clients with respect to compliance with the Commodity Exchange Act, Investment Advisers Act of 1940, exemptions from the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934 and the rules and regulations of the Commodity Futures Trading Commission, Securities and Exchange Commission, National Futures Association and Financial Industry Regulatory Authority. He represents a broad range of clients that utilize different strategies from well-established institutions to fund managers that have decided to start their own funds.
- Counsel to hedge fund managers regarding the formation and structure of funds and provides ongoing regulatory advice.
- Counsel to a major commodity pool operator of publicly and privately offered pools.
- Counsel to the managed futures group of a major investment bank in connection with the formation of multi-tiered commodity pools.
- Counsel to an independent investment adviser in connection with the structure and formation of a master-feeder fund and parallel 3(c)(1) vehicle.
This advisory discusses a recent SEC guidance update that clarifies the filing requirements for certain electronic communications by mutual funds and other registered investment companies (“investment companies”). Specifically, the guidance from the Division of Investment Management (“IM Guidance”) seeks to make clear the obligations of investment companies with respect to real-time electronic materials posted on their social media sites (“interactive content”).
18 March 2013