Mr. Juster is an associate in the investment management group, resident in the Boston office. He focuses his practice on advising clients in the financial services industry, including private domestic and offshore investment funds, broker-dealers, investment advisers and registered funds. Mr. Juster advises clients on SEC and FINRA regulatory requirements, Investment Company Act, Investment Advisers Act, Exchange Act and SRO compliance issues, including Section 28(e) "soft dollar" compliance, development of supervisory procedures and overall compliance reviews. He counsels broker-dealers, advisers and fund clients in connection with their prime brokerage arrangements, Master Repurchase Agreements and other derivatives-related transactions. Mr. Juster also advises clients with respect to transactional matters, including the structuring and distribution of equity securities, hedge funds, private equity funds and funds of funds.
Prior to joining K&L Gates, Mr. Juster was regulatory counsel for a large retail broker-dealer where he was responsible for advising the compliance, operations and trading departments on federal and state securities laws and SRO rules, and managing SEC, FINRA and state investigations and examinations. Previously, Mr. Juster was assistant general counsel of an institutional broker-dealer where his practice focused on legal and regulatory compliance, domestic and international brokerage relationships, energy and FX brokerage, soft dollars and electronic trading. Mr. Juster also spent three years as head of compliance at an institutional broker-dealer in New York, where he was responsible for all aspects of legal and regulatory compliance related to the trading of equities, municipal bonds and other fixed income instruments, and derivative products. In these roles, Mr. Juster gained extensive experience with soft dollar compliance, including secondary clearing, commission sharing and introducing broker arrangements. Prior to his in-house counsel and compliance roles, Mr. Juster spent four years as the executive director of The Asset Managers Forum, an affiliate of the Securities Industry and Financial Markets Association, which serves as the principal advocate for the investment management industry on securities processing, accounting policy and related matters. Mr. Juster was responsible for developing and advancing the Forum's policy positions and coordinating the efforts of the forum's various working groups and committees. He also served as the forum's spokesman at industry events in the United States and Europe and liaison to government regulators and the press.