Practice Areas
- Hedge Funds / Investment Funds
- Investment Advisers & Broker-Dealers
- International Practice
- Government & Internal Investigations
Education
- New York University School of Law, J.D., 1990
- State University of New York at Binghamton, B.A., 1987, cum laude
Bar Admissions
- New York, 1991
- Connecticut, 1990
Matthew Eisenberg has more than 20 years of experience providing legal and regulatory advice to hedge funds, funds of funds, private equity funds, investment advisers, placement agents, institutional investors and other industry participants.
Matthew advises clients regarding: the structuring, formation and operations of investment funds, investment advisers, commodity pools, commodity pool operators, commodity trading advisors, and broker-dealers; SEC registration, CFTC registration, SRO membership (such as with FINRA and the NFA), and other licensing matters; the development and implementation of compliance programs and procedures; ongoing compliance matters; regulatory examinations, investigations and enforcement matters; the full range of contracts and counterparty arrangements; marketing, advertising and distribution practices; seed investment and other strategic transactions; swaps and other derivative transactions; and due diligence practices.
Matthew has seen the hedge fund industry develop from a niche-oriented and lightly-regulated investment “alternative” in the 1990s, to the more mainstream, multi-faceted, and heavily-regulated industry that it is today. He has played an active role in interfacing with legislators and regulators, as well as lobbyists, service providers and other industry participants, in connection with the many laws and regulations that have been enacted and implemented over the years.
Matthew is a member of the board of directors of the Connecticut Hedge Fund Association and actively participates in a number of other industry associations. He is a frequent presenter and panelist at industry events, and has been a guest lecturer at law schools regarding investment fund and investment adviser regulatory matters.
Matthew began his legal career in 1990 as an associate at the New York City law firm of Rogers & Wells. In 1993, he became an associate at Winthrop, Stimson Putnam & Roberts, another New York City law firm. In 1996, Matthew co-founded an investment management boutique law firm in Fairfield County, Connecticut, which catered to the then burgeoning hedge fund industry. In 2007, Matthew joined Finn Dixon & Herling.
Associations and Memberships
Connecticut Hedge Fund Association (Member, Board of Directors)
Managed Funds Association (MFA)
Regulatory Compliance Association (RCA)
Hedge Fund Association (HFA)
CCO University (Senior Faculty Member)
American Bar Association
Connecticut Bar Association
Publications
CCO University Course: “Developing & Implementing an Investment Adviser Compliance Program” (available through the Regulatory Compliance Association)
Speaking Engagements
Third Party Marketers Association 2012 Annual Conference, November 2012
“SEC Examinations Panel” (Moderator), Compliance, Risk & Enforcement 2012 Symposium, Regulatory Compliance Association, October 2012
Hedge Fund Operational Due Diligence Conference, FRA, October 2012
“SEC Examinations Panel” (Moderator), Annual Regulation & Risk Thought Leadership Symposium, Regulatory Compliance Association, April 2012
“Hedge Fund Revolution - Alternative Investment Focus”, Meeting of the Americas Conference, March 2012
Guest Lecturer at Rutgers School of Law and Fordham Law School as part of the Regulatory Compliance Association's "Law School and Masters Concentration in Asset Management & Regulation", January and February 2012
“The New ERA of Systemic Risk Regulation - Form PF”, U.S. Centric Outreach Program, Regulatory Compliance Association, December 2011
“SEC Examination Panel” (Moderator), Annual Fall Asset Management Thought Leadership Symposium, Regulatory Compliance Association, November 2011
“The Transformation of Third Party Marketer Contacts and Compensation”, Third Party Marketers Association, October 2011
“Non-U.S. Hedge Funds - Legal and Compliance Implications of Marketing in the U.S.”, AIMA – Canada Chapter, September 2011
“Regulatory Examination Briefing - Latest Inquiries and Comparative Analysis”(Moderator), Regulatory Compliance Association U.S. Centric Outreach Program, June 2011
“SEC Examinations of Fund Managers” (Moderator), Annual Asset Management Thought Leadership Conference, Regulatory Compliance Association, November 2010
“New Requirements for PE, VC and Hedge Fund Advisers under Financial Reform Legislation”, Finn Dixon & Herling LLP Webinar Series, July 2010
Annual Asset Management Thought Leadership Symposium, Regulatory Compliance Association, June 2010
Annual Asset Management Thought Leadership Conference, Regulatory Compliance Association, November 2009
“Hedge Fund Regulation”, Association of Corporate Counsel – Westchester / Southern Connecticut Chapter (WESFACCA), July 2009
“Regulatory & Enforcement Roundtable: Current Issues and Areas of Interest”, Regulatory Compliance Association, June 2009
“Going Offshore: Raising Capital in the United States”, AIMA - Canada Chapter, May 2009
“Operations & Compliance for Hedge Funds and Funds of Funds”, Finance IQ, December 2008
“2008 Hedge Fund General Counsel Summit”, ALM, September 2008
“Hedge Fund Marketing Arrangements”, Third Party Marketers Association, June 2008
“Valuation as an SEC 'Hot Button' Issue”, FRA, May 2008
“Compliance & Operational Best Practices for Hard-to-Value Securities & Portfolios”, FRA, March 2008
“Hedge Fund Operations & Compliance”, IQPC, October 2007
“Hedge Funds World - Canada”, Terrapinn, October 2007
“Hedge Fund Regulation and Compliance”, IIR, April 2007
“Marketing & Advertising Compliance Forum”, FRA, March 2007
