Mitchell E. Nichter. San Francisco. Practice Areas. Senior Counsel, Corporate Department

Transcription

1 Mitchell E. Nichter Senior Counsel, Corporate Department Mitchell Nichter practices corporate and securities law with the international law firm of Paul Hastings LLP, concentrating on hedge funds, offshore funds, mutual funds, closed-end funds, fund governance, and on the structuring, financing, formation and regulation (federal and state) of hedge funds and other financial services businesses. He heads up the firm s Global Hedge Fund practice. During his more than 20 years of practice in the hedge fund and investment management industry, Mr. Nichter s clients have included U.S. and offshore investment and hedge funds, registered investment companies (open end mutual funds and closed-end exchange-listed funds), independent mutual fund board members, investment advisers, broker-dealers, banks, trust companies and other types of financial institutions. He has extensive experience assisting hedge fund managers, mutual funds and other financial service businesses in dealing with federal and state regulatory authorities, investor disputes, and on securities and transactional matters, including acquisitions, mergers, dispositions, reorganizations and joint ventures. San Francisco T: 1(415) F: 1(415) Practice Areas Corporate Investment Management Mergers and Acquisitions Private Investment Funds Securities and Capital Markets Mr. Nichter regularly writes and speaks on numerous topics in the hedge fund and investment management area. He is listed in the Chambers USA Guide to Leading Investment Funds Lawyers, the Chambers Global Guide to Leading Investment Funds Lawyers, The Legal 500 (United States) as a leading hedge fund and mutual fund lawyer, and in IFLR s Leading Investment Funds Lawyers. Accolades and Recognitions Listed in the Chambers USA Guide to Leading Investment Funds Lawyers, the Chambers Global Guide to Leading Investment Funds Lawyers, and The Legal 500 (United States) as a leading hedge fund and mutual fund lawyer Listed in IFLR s Leading Investment Funds Lawyers Speaking Engagements and Publications Speaker at Webinar Adviser Regulatory Update sponsored by National

2 Regulatory Services and the Investment Adviser Association (May 2013) Speaker at NRS Conference: Understanding Fiduciary Duties and the Sweep of the Anti-Fraud Provisions of the Investment Investment Advisers Act of 1940 sponsored by National Regulatory Services and the Investment Adviser Association (November 2012) Speaker at Webinar Form ADV Part 2: Identifying and Disclosing Conflicts sponsored by National Regulatory Services and the Investment Adviser Association (September 2012) Speaker at Webinar Defensible Due Diligence for Investment Advisers and Hedge Funds sponsored by National Regulatory Services and the Investment Adviser Association (July 2012) Author Hedge Fund Governance US Responses to Regulatory and Institutional Pressures and Offshore Alternatives (Hedge Funds: A Practical Global Handbook to the Law and Regulation, Globe Business Pub. 2012) Speaker at SkyBridge SALT Conference: The New Rules of Finance (May 2012) Speaker at Webinar Form PF sponsored by California Hedge Fund Association (May 2012) Panel Moderator at NICSA West Coast Regional Meeting: Hot Topics in Risk Management (April 2012) Co-Author Duties Imposed by the Investment Advisers Act of 1940 (The Review of Sec. & Comm. Reg. February 2012) Speaker at Webinar Investment Adviser Regulatory Update sponsored by National Regulatory Services and the Investment Adviser Association (December 2011) Speaker at Webinar Understanding Fiduciary Duties under the Advisers Act sponsored by National Regulatory Services and the Investment Adviser Association (November 2011) Panel Moderator and Speaker HedgeWorld Fall Fund Conference: Regulation & Compliance Balancing Proprietary Obligations with Compliance Requirements (October 2011) Author Summary of Rules Affecting Investments in Initial Public Offerings (VC Experts September 2011) Panel Moderator and Speaker at SkyBridge SALT Conference: Optimizing Operational Efficiency to Enhance Performance (May 2011) Panel Moderator at NICSA West Coast Regional Meeting: Implementation Challenges of Pay-to-Play Rules (April 2011) Appearance on The Deal Pipeline: FINRA Seeks to Regulate Investment Advisers (March 29, 2011) Speaker at Rothstein Kass Private Investment Fund Forum: Regulatory

3 Developments (October 2010) Panel Moderator HedgeWorld Fall Fund Conference: Portfolio Construction (October 2010) Panel Moderator and Panelist Campbells Cayman Fund Focus Conference: Regulatory Landscape (September 2010) Speaker at SkyBridge SALT Conference: Establishing Best Practices -- Institutionalizing Hedge Funds (May 2010) Co-Author Hedge Fund Management An Industry in Transition (Bloomberg Law Reports September 2009) Author The Hedge Fund Transparency Act: Will it Work? (Reuters HedgeWorld May 2009) Participant in Paul Hastings Media Roundtable: Hedge Fund Regulation and Litigation (January 2009) Panel Moderator HedgeWorld Fall Fund Conference: Regulatory Roundup (October 2008) Speaker at NRS Conference: Form ADV and Related Investment Adviser Disclosure (September 2008) Speaker at NICSA West Coast Regional Meeting: Mutual Fund Risk Management in a Turbulent Market (June 2008) Author Managing Hedge Fund Regulatory Risks in a Turbulent Market (GTnews.com December 2007) Panelist on CNBC s Squawk Box: Activist Hedge Fund Managers Are they In Trouble? (October 2007) Speaker at IMS Consulting Partners Conference: Marketing Hedge Funds (October 2007) Speaker at Paul Hastings Webinar How To Minimize Hedge Fund Risk: Litigation Trends And Risk Management Issues Relating to the Subprime Mortgage Meltdown (October 2007) Author Implications of FPA vs. SEC Decision: Paternalism vs. Freedom of Choice (Bloomberg Law Reports May 2007) Author US Regulatory Developments for Hedge Fund Managers (Cayman Islands Journal January 2007) Speaker at MARHedge Cayman Islands 2006 Conference: US Regulatory Developments (December 2006) Author Hedge Row: The Goldstein vs. SEC Decision (The Lawyer Aug. 2006) Education Washington University in St. Louis School of Law, J.D., 1985 Washington University in St. Louis, M.B.A., 1985 University of California Santa Barbara, B.A., 1981

4 News June 05, 2013 Paul Hastings Extensive Practice Strength Highlighted in The Legal 500 United States 2013 December 02, 2010 Paul Hastings Advises Global Financial Services in Sale to Sanders Morris Insights December 21, 2015 Hedge Fund Report: Summary of Key Developments - Fall 2015 June 29, 2015 SEC Charges Investment Adviser and Mutual Fund Board Members with Failures in 15(C) Advisory Contract Approval Process June 01, 2015 Hedge Fund Report - Summary of Key Developments - Spring 2015 December 23, 2014 Hedge Fund Report Summary of Key Developments Fall 2014 July 02, 2014 SEC Issues Guidance Update Regarding Enhanced Mutual Fund Disclosure May 16, 2014 Hedge Fund Report - Summary of Key Developments - Spring 2014 January 30, 2014 California Department of Business Oversight Issues New Rules Affecting Investment Advisers and Broker Dealers

5 October 09, 2013 Hedge Fund Report: Summary of Key Developments - Fall 2015 August 16, 2013 CFTC Adopts Final Harmonization Rules May 13, 2013 Federal Prosecutors and Regulators Probe Investment Funds' 10b5-1 Trading Plans April 25, 2013 Hedge Fund Report - Summary of Key Developments - Spring 2013 April 22, 2013 SEC Chief Counsel Cautions Newly Registered Private Fund Advisers on Broker-Dealer Registration Issues Relating to In-House Marketing and Other Activities April 18, 2013 SEC and CFTC Adopt Rules to Help Protect Investors from Identity Theft April 16, 2013 What Boards Can Learn From the Morgan Keegan Case December 05, 2012 Hedge Fund Report - Summary of Key Developments - Fall 2012 September 06, 2012 SEC Proposes Rules Under JOBS Act Eliminating Prohibition Against General Solicitation and Advertising in Certain Reg. D/Rule 144A Offerings

6 April 04, 2012 The JOBS Act Loosens Private Fund Marketing Restrictions November 28, 2011 SEC and CFTC Adopt Private Fund Adviser Reporting Form November 03, 2011 Hedge Fund Report - Summary of Key Developments - Fall 2011 July 27, 2011 Hedge Fund Report Summary of Rules Affecting Investments in Initial Public Offerings July 05, 2011 SEC Finalizes Rules to Implement Dodd-Frank Act Regulation of Private Investment Funds and Their Managers June 24, 2011 SEC Adopts Final Dodd-Frank Adviser Registration Rules and Extends Deadline for Compliance May 18, 2011 FINRA Proposes Revisions To Its Mutual Fund Cash Compensation Disclosure Rules May 18, 2011 SEC To Adjust ''Qualified Client'' Dollar Thresholds For Investment Adviser Performance Fee Rule, Implementing Requirements Imposed By Dodd-Frank April 25, 2011 Hedge Fund Report Summary of Key Developments - Spring 2011

7 February 09, 2011 Section 13 SEC Reporting by Advisers and Brokers and Section 16 SEC Reporting by Insiders of Public Companies February 04, 2011 CFTC Proposes Amendments to Compliance Obligations of CPOs and CTAs November 23, 2010 SEC Proposes Rules to Implement Dodd-Frank Act Regulation of Private Investment Funds and their Managers November 18, 2010 Calling All Unregistered Fund Sponsors, Advisers and Managers: Learn About the Impact of the Dodd-Frank Act October 29, 2010 Hedge Fund Report Summary of Key Developments Fall 2010 August 12, 2010 SEC Adopts New Brochure Requirement for Registered Advisers August 06, 2010 SEC Proposes Reform of Mutual Fund Distribution Framework July 26, 2010 A New Era in the Regulation of Private Investment Funds June 29, 2010 SEC Proposes New Advertising Disclosure Requirements for Target-Date Funds September 24, 2009 Hedge Fund Management An Industry in Transition

8 June 08, 2009 FINRA Rule Proposal Requires Delivery of Monthly Customer Account Statements by Members April 16, 2009 Recent Technical Amendments to Form N-1A February 06, 2009 Section 13 SEC Reporting by Advisers and Brokers and Section 16 SEC Reporting by Insiders of Public Companies February 04, 2009 Hedge Fund Transparency Act January 29, 2009 SEC Adopts ''Summary Prospectus'' and Related Rules Designed to Improve Mutual Fund Prospectus Disclosure January 16, 2009 Annual Form ADV Requirements for Investment Advisers November 03, 2008 Federal Reserve Announces Money Market Investor Funding Facility October 17, 2007 Webinar Held on Rule 12b-1 Fees: Past, Present and Future November 16, 2005 Annual Form ADV Requirements for Investment Advisers

9 Rankings & Awards May 06, 2010 Legal Media Group