Matthew Rogers is an associate in the firm’s investment management group. Matthew focuses his practice on advising investment advisers, open and closed-end investment companies, unregistered funds and other financial service providers.
He 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.
Matthew 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.
In addition, Matthew counsels clients on commodities law and CFTC and NFA compliance matters. Matthew also advises investment advisers, commodity pool operators and end-users on a wide range of derivative regulatory and compliance matters, including cross boarder and collateral issues and protocol adherences. He has experience negotiating trading documentation, including ISDAs, prime brokerage agreements, futures agreements and account control agreements.
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.
- “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