September 29, 2022

Volume XII, Number 272

Fred M. Santo

Fred M. Santo represents sponsors and investment managers of domestic and international hedge funds, commodity pools and other public and private pooled investment vehicle, as well as investment managers, family offices, brokers, investment professionals, financial intermediaries and other financial institutions. He provides counsel on Securities Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) regulations, the Investment Company Act, the Investment Advisers Act, the Employee Retirement Income Security Act (ERISA), broker-dealer regulation and taxes. In addition, he has extensive experience with commodity pool officer (CPO) and commodity trading advisor (CTA) registration and compliance requirements and detailed knowledge of financial legislation including the Dodd-Frank Act.

Articles in the National Law Review database by Fred M. Santo