About Mark D. Goldstein

For more than 25 years, Mark Goldstein has counseled investment advisers, mutual funds and private investment funds on compliance and regulatory requirements, corporate matters and federal securities laws. With experience as general counsel of an asset management firm and at the SEC's Enforcement Division in New York, Mark understands the practical issues at play in complying with federal and state laws, and his perspective on both sides of the regulatory fence helps his clients craft solutions to their most pressing issues.

Experience and perspective

Mark has extensive experience advising on the formation, distribution, structuring and ongoing operational aspects of a wide array of investment products, including mutual funds, private investment funds and separately managed accounts, as well as extensive experience counseling investment advisers regarding SEC examinations and transactional matters.

Prior to joining the firm, Mark was general counsel of an asset management firm where he handled all aspects of the firm's legal and compliance matters. He has been in house at a number of asset management firms and broker-dealers and he was chief compliance officer for several investment advisers and investment companies. He also worked for the US Securities and Exchange Commission’s Division of Enforcement in New York.

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Practice Focus

  • Investment advisers
  • Mutual funds
  • Securities law
  • Compliance and regulatory

Presentations and Events