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.
- Investment advisers
- Mutual funds
- Securities law
- Compliance and regulatory
September 24, 2018
Corporate & Financial Weekly Digest, Featuring Articles on SEC's Changes to Rule 14a-8 No-Action Request Process, FINRA's Call for Candidates in Small Firm Advisory Committee Election, and FCA's Updated Information on SM&CR ImplementationSeptember 13, 2019
September 10, 2019
Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Stock Fraud Warning to Investors after Hurricane Dorian, New Changes to NFA Rules and Interpretive Notices, and A Briefing Published By the House of Commons on Retained EU Law after BrexitSeptember 6, 2019
Corporate & Financial Weekly Digest, Featuring Articles on the Latest SEC Guidance and Enforcement ActionsAugust 23, 2019
Corporate & Financial Weekly Digest, Featuring Article on Proposed Changes to Regulation S-K and an Update on EU EquivalencyAugust 16, 2019
Corporate & Financial Weekly Digest, Featuring Article on FINRA Notice of New SEC Regulation Establishing "Best Interest" Standard of Conduct for Broker-DealersAugust 9, 2019
Corporate & Financial Weekly Digest, Featuring Articles on FINRA TRACE Reporting Obligations and FCA Guidance on CryptoassetsAugust 2, 2019
Corporate and Financial Weekly Digest, Featuring Articles on the Latest CFTC Proposals for Swap Margins, Non-US Clearing Organizations and ReportingJuly 26, 2019
- View All Publications
Presentations and Events
June 13, 2018
February 9, 2018