Mr. Man is a partner in the firm's investment management group. He represents investment advisers, closed-end funds (including exchange-traded closed-end funds, registered funds of hedge funds, and interval funds), alternative mutual funds, and private funds (including hedge funds and funds of one).
Mr. Man counsels clients on various regulatory, corporate, and transactional matters, including:
- Investment adviser registration under the Investment Advisers Act of 1940;
- Exemptions from, and regulation under, the Advisers Act, including the regulation of trading arrangements, solicitation arrangements, custody of client assets, and performance advertising and marketing;
- Development of compliance and risk management policies and procedures, including the development of procedures required by SEC regulation;
- Counseling with respect to private placement regimes, including Regulation D and Regulation S under the Securities Act of 1933 as well as Blue Sky compliance;
- Registered fund and private fund structuring, including drafting organizational and offering documents;
- Drafting and negotiating advisory and subadvisory agreements;
- Negotiation of service provider agreements, including with placement agents, administrators and custodians; and
- Negotiation of side letters with private fund investors.