Ranked in 2 Practice Areas
3

Band 3

Investment Funds: Regulatory & Compliance

USA - Nationwide

2 Years Ranked

3

Band 3

Hedge & Mutual Funds

Massachusetts

3 Years Ranked

Ranked in Guides

About

Provided by Michael McGrath

USA

Practice Areas

Michael McGrath is an Asset Management and Investment Funds partner based in the K&L Gates Boston office. His practice focuses on counseling global asset managers across a broad spectrum of asset classes in the formation and operation of investment funds, regulatory compliance, and securities and commodities law.

Michael has extensive experience advising clients with respect to the formation and operation of private equity funds, hedge funds, real estate funds, credit funds, separate accounts, and mutual funds. He frequently helps clients navigate the regulatory and structuring challenges associated with developing novel investment products, implementing strategic transactions, and arranging joint ventures and seed investments.

Michael also maintains an active practice assisting investment advisers, broker-dealers, and commodity trading advisers with respect to regulatory compliance and examinations. In this respect, he helps clients design and implement compliance programs, and satisfy U.S. and cross-border regulatory requirements related to registration, securities and derivatives trading, and control of nonpublic information. He regularly advises investment managers and broker-dealers on marketing and advertising issues, including the Global Investment Performance Standards (GIPS®).

Michael is a frequent author and speaker on the practical implementation of securities laws in the asset management industry. He is a CFA charter holder, and a member of the CFA Institute’s U.S. Investment Performance Committee.

Professional Memberships

CFA Society Boston

CFA Institute, U.S. Investment Performance Committee

Publications

"Derivatives Risk Management: Adapting to the New SEC Rule," Alternative Investment Management Association, October 2021

FinTech, RegTech, and the Financial Services Industry, Chapter 4, “Raising Equity Capital Through Regulation Crowdfunding,” Practicing Law Institute, July 2021

"Key Components of the New Marketing Rule: Part 2," The Investment Lawyer, May 2021

"Key Components of the New Marketing Rule: Part 1," The Investment Lawyer, April 2021

"Impact of the New Marketing Rule: What Constitutes an 'Advertisement' and How to Adhere to Principles‑Based Standards," Private Equity Law Report, 23 March 2021

“Private Equity in 401(k) Plans - A Trillion Dollar Opportunity?,” Journal of Investment Compliance, December 2020

“How the Proposed Amendments to the SEC Advertising Rule Would Affect PE Managers,” Private Equity Law Report, 14 January 2020

“GIPS 2020 Exposure Draft: What Every Firm Needs to Know,” The Investment Lawyer, Vol. 26, No. 3, March 2019

“Getting the Deal Through: Fund Management 2018 – United States,” Law Business Research Ltd., 2018–2020

“Raising Equity Capital Through Regulation Crowdfunding,” PLI Financial Product Fundamentals, July 2018

“Be Careful What You Post - SEC Continues To Focus on the Use of Social Media by Investment Advisers,” Harvard Law School Forum on Corporate Governance and Financial Regulation, 17 July 2018

“Key Insurance Considerations for Investment Advisors,” Charles Schwab Compliance Review, June 2018

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