November 29, 2022

Volume XII, Number 333

Matthew J. Rogers

Matthew Rogers is an associate in the firm’s investment management group. Mr. Rogers focuses his practice on advising investment advisers, open and closed-end investment companies, unregistered funds and other financial service providers.

He has experience drafting and reviewing registration statements, board materials and other regulatory and legal documentation for the formation, organization and ongoing operations of registered funds. He assists clients in obtaining regulatory relief from certain U.S. federal securities laws and resolving SEC staff comments on regulatory filings.

Mr. Rogers advises clients on various regulatory and compliance issues, including private placements and the development of internal compliance and risk management policies and procedures. He also advises investment advisers, broker-dealers, and other financial institutions on performance advertising reviews.

In addition, Mr. Rogers counsels clients on commodities law and CFTC and NFA compliance matters. Mr. Rogers also advises investment advisers, commodity pool operators and end-users on a wide range of derivative regulatory and compliance matters, including cross boarder and collateral issues and protocol adherences. He has experience negotiating trading documentation, including ISDAs, prime brokerage agreements, futures agreements and account control agreements.

Articles in the National Law Review database by Matthew J. Rogers