Donald S. Weiss focuses on the investment management industry and alternative investments serving investment firms, hedge fund managers, commodity pool operators, private equity advisers and institutional investors. He concentrates his practice on the business, corporate and regulatory needs of the investment management community and represents a variety of professional participants in the financial markets including investment advisers, commodity trading advisors, broker—dealers, introducing brokers, futures commission merchants and proprietary trading firms.
For more than 25 years working in the investment management area, Mr. Weiss has worked with clients on:
Experienced in all aspects of regulatory compliance, Mr. Weiss handles a wide variety of matters for market participants, including:
Mr. Weiss has obtained exemptive and no-action relief from various regulatory requirements before government regulatory agencies to facilitate a registrant's business plans or enable it to develop a novel fund structure or investment product or service.
Mr. Weiss also represents regulated entities and other market participants in disciplinary and enforcement matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, National Futures Association, exchanges and state agencies.
Mr. Weiss started his career as an enforcement attorney with the Securities and Exchange Commission, followed by a senior enforcement position with the Commodity Futures Trading Commission. He draws upon his government experience to provide strategic representation to clients in investigations, civil enforcement and criminal matters related to federal and state securities laws, commodity regulation and self-regulatory organizations. He has served as an expert witness in legal matters involving industry disputes and the workings of the financial markets.