Mark Perlow focuses on investment management and securities law. He regularly represents mutual funds, hedge fund managers, investment advisers, fund boards of directors, and broker-dealers on a variety of regulatory and transactional matters. He has represented clients on a broad range of traditional and novel matters, including:
Mr. Perlow served as senior counsel in the Office of the General Counsel of the Securities and Exchange Commission from 1998 to 1999, focusing on investment management, fund and corporate governance, and enforcement. He also served in the SEC’s Division of Enforcement from 1994 to 1997. While on the SEC staff, he worked on regulatory initiatives on fund governance, the scope of the securities laws online, codes of ethics, personal trading of investment personnel, and foreign custody of fund assets, and advised the SEC on enforcement actions involving funds and investment advisers. Mr. Perlow also served as the senior lawyer on a number of enforcement actions and investigations, including the W.R. Grace 21(a) Report on independent directors’ duties, and cases involving accounting fraud, market manipulation, insider trading, and broker-dealer sales abuses. Prior to government service, he was associated with a California law firm and represented technology companies on corporate, securities, and intellectual property matters.