Andrew Cross has deep experience in the investment management and derivatives transactional and regulatory practice areas. As part of his investment management practice, Andrew regularly advises mutual funds and their boards and investment advisers with respect to regulatory matters.
Andrew routinely negotiates a wide range of trade documentation on behalf of clients, including: ISDA master agreements; prime brokerage account agreements; futures account agreements; and swap execution facility participation agreements. Andrew’s regulatory practice covers a broad spectrum of issues arising under the federal statutes that govern mutual funds and investment advisers as well as the use of derivatives for investment or hedging purposes: the Commodity Exchange Act; the Securities Act of 1933; the Securities Exchange Act of 1934; the Investment Company Act of 1940; and the Investment Advisers Act of 1940. In addition, Andrew has advised clients in a variety of industries, such as the financial services, steel, supply chain management, commodities, commodities trading and energy industries, with respect to issues relating to Title VII of the Dodd-Frank Act.
Todd Zerega advises asset managers in connection with their compliance with federal securities laws and with respect to their trading of derivative investments, repurchase agreements and other investment contracts. Todd represents fund companies and their independent directors in connection with their responsibilities under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Todd also has experience with ETFs, including obtaining applicable exemptive relief for actively managed ETFs and assisting in the launch of ETFs.
Additionally, Todd advises clients, such as asset managers and corporate treasury departments, with respect to their derivative trading, repurchase agreements, commodity investments, short sales, securities lending transactions and purchases of hybrid instruments. This counseling includes regulatory compliance and negotiation of trading documentation.
Shawn focuses on counseling investment advisers, registered fund complexes, and unregistered funds on U.S. securities laws as well as Securities and Exchange Commission matters, negotiating International Swaps and Derivatives Association Master Agreements for over-the-counter derivative transactions and Master Repurchase Agreements, and preparing U.S. Commodity Futures Trading Commission (CFTC) and National Futures Association registration materials, membership and exemption filings on behalf of commodity pool operators and commodity trading advisors.