Matthew Rogers is of counsel in the firm's Asset Management and Investment Funds group. Matt regularly advises asset managers including mutual funds, hedge funds, private equity funds, and insurance companies on commodities law and CFTC and NFA regulatory matters. His experience includes assisting clients with regulatory examinations and obtaining regulatory relief from U.S. federal securities laws and commodities laws.
Matt advises clients 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 also counsels clients on cryptocurrencies and cryptocurrency derivatives by assisting established and emerging companies navigate the changing legal and regulatory landscape.
Matt advises clients on various regulatory and compliance issues, including the development of internal compliance and risk management policies and procedures. He also routinely advises clients on requirements and exemptions pertaining to commodity pool operators and commodity trading advisors.
Mat worked as a summer associate at K&L Gates in 2013.
- Catholic Schools Foundation, Audit Committee & Allocations Committee
- St. John’s Preparatory School, Trustee Associate
- “Derivatives Risk Management Programs for Liquid Alts Strategies,” October 25, 2021, AIMA
- "United States: CFTC Proposes to Broaden Scope of Eligible Collateral for Initial Margin," The National Law Review, 28 July 2023
- "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
- Quoted, "SEC launches artificial intelligence sweep," Regulatory Compliance Watch, 30 August 2023
- Quoted, "Early reactions to SEC’s AI proposal," Regulatory Compliance Watch, pp. 5-6, 14 August 2023
- "SEC Proposes New Conflict Of Interest Regime for Predictive Technology” 31 July 2023, Chief Investment Officer
- "SEC Proposes Restricting Internet Adviser Exemption,” 28 July 2023, Plan Adviser