Matthew Rogers is an associate in the firm’s Asset Management and Investment Funds group. Matt focuses his practice on advising investment advisers, open and closed-end investment companies, unregistered funds and other financial service providers.
Matt counsels clients on commodities law and CFTC and NFA compliance matters. Matt advises investment advisers, commodity pool operators, commodity trading advisors and end-users on a wide range of derivative regulatory and compliance requirements, including cross-border, collateral management and Dodd-Frank matters. His experience also includes negotiating trading documentation, including ISDAs, prime brokerage agreements, futures and cleared swaps agreements and account control agreements.
Matt has experience drafting and reviewing registration statements, board materials and other regulatory and legal documentation for the formation, organization and ongoing operations of registered funds. He assists clients in obtaining regulatory relief from certain U.S. federal securities laws and resolving SEC staff comments on regulatory filings.
Matt advises clients on various regulatory and compliance issues, including private placements and the development of internal compliance and risk management policies and procedures. He also advises investment advisers, broker-dealers, and other financial institutions on performance advertising reviews.
Prior to working at the firm, Matthew interned in the Essex County District Attorney’s Office. He was also a summer associate at K&L Gates in 2013.
- "Derivatives Risk Management: Adapting to the New SEC Rule," Alternative Investment Management Association, October 2021
- "Pardon My Interpretive Notices: The NFA Releases Two Interpretive Notices for Members," The Investment Lawyer, Vol. 28, No. 8, August 2021
- "Rest Easy Chief Compliance Officers: A Quick Guide to Compliance Officer Regulatory Obligations," FIA, April 2021
- “CFTC Regulatory and Enforcement Report: 2020 Activity and Outlook,” The Investment Lawyer, March 2021
- “FINRA Relaxes Restrictions on Pre-Inception Performance Data,” Journal of Investment Compliance, August 2019
- “Updating Interpretive Guidance for a Rapidly Evolving Mutual Fund Marketplace,” Traders Magazine, 22 May 2019