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Yusef Alexandrine

Associate
San Francisco
+1.415.249.1044
Fax +1.415.882.8220

Primary Practice

Secondary Practices

Education

  • J.D., University of California, Berkeley School of Law (Boalt Hall), 2007
  • B.A., Howard University, 2000

Admissions

  • Bar of California
  • Biography Overview
  • Additional Background
  • Representative Work
Yusef Alexandrine is an associate in K&L Gates’ San Francisco office and a member of the Investment Management practice group. He advises participants in the financial services industry, including investment advisers to hedge funds, private equity funds, and venture capital funds, registered open-end and closed-end funds, exchange traded funds and mutual funds, as well as mutual fund independent directors, investment banks and broker-dealers, on regulatory, transactional and counseling matters involving the securities and commodities laws. He also regularly provides advice with respect to exemptions, no-action letters, and other forms of regulatory relief. In addition, he advises clients on state blue sky issues, particularly California securities law regulatory issues.

Professional Background

Mr. Alexandrine was a summer associate at K&L Gates in 2006. Prior to joining K&L Gates, he was a legal intern for Pacific Exchange, Inc., where he prepared and filed administrative law motions for broker-dealer litigation, assisted in negotiations, and drafted settlement offers for broker-dealer violations. At the exchange, he also drafted and revised Section 19(b)(1) and 19(b)(4) rules for submission to the Securities and Exchange Commission. Previously, Mr. Alexandrine spent three years at a major biotechnology company in the bay area.

Achievements

  • Prosser Prize in Securities Class Action Litigation

Professional/Civic Activities

  • American Bar Association (Business Law Section)
  • Bar Association of San Francisco

Speaking Engagements

  • “Recent SEC Amendments to Qualified Client and Accredited Investor Standards,” Celesq, June 7, 2012.

Investment Advisers and Private Funds

  • Represent government plans and other institutional investors in connection with their investments in hedge funds, private equity, venture capital, real estate funds and special situation funds
  • Prepare fund formation documents, including private placement memoranda, limited partnership agreements, limited liability company agreements, investment management agreements and subscription agreements
  • Conduct legal and regulatory examinations of adviser compliance programs
  • Conduct legal and regulatory review of advisers' sales and marketing documents and programs
  • Conduct legal and regulatory review of advisers' portfolio management and trading operations
  • Advise advisers on preparing for and responding to SEC examinations

Investment Company

  • Advise investment companies and investment advisers on the formation, reorganization and termination of investment companies
  • Advise mutual funds and exchange traded funds on compliance and regulatory matters
  • Organize and prepare registration statements for mutual funds and exchange traded funds
  • Develop and review compliance programs for investment advisers and investment companies
  • Conduct compliance audits and regulatory reviews of investment advisers
  • Advise mutual fund independent directors on fund governance and regulatory issues
  • Prepare materials for meetings of boards of directors, independent directors and shareholders
  • Advise independent directors in their review of advisory contracts and other matters
  • Prepare and conduct reviews of fund complex prospectus and SAI disclosure
  • Review service provider agreements
  • Prepare proxy materials for mutual funds
  • Advise and assist clients in connection with adviser changes of control
  • Represented a mutual fund adviser in a dispute with the independent directors of the fund regarding market timing abuse
  • Advised a non-profit charitable investment company regarding structuring the fund in accordance with federal securities exemptions for issuance and sale of charitable purposed securities

Broker-Dealer

  • Conducted legal and regulatory examination of a compliance program and supervisory procedures for a broker-dealer
  • Advised a broker-dealer on preparing for and responding to SEC examinations
     Securities Litigation
  • Represented a corporate officer in SEC enforcement proceedings involving alleged insider trading violations
  • Represented a corporate board member in stock options back-dating litigation

Corporate

  • Advised a Hong Kong listed company on matters concerning the private placement and redemption of restricted shares in the United States.
  • Advised a start-up company regarding the allocation of equity among founders, employees and seed investors

Government Affairs

  • Lobbied public officials on behalf of a Native American tribal gaming consortium
  • Lobbied state legislators regarding implementation of a "smart grid" electrical power infrastructure
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