Practice Areas
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 representing hedge funds, funds of funds, private equity funds, investment advisers, placement agents and other broker-dealers. He advises as to: fund structuring and formation; preparation of fund offering documents; SEC and state registration of investment advisers; SEC and state registration of broker-dealers; CFTC registration of commodity pool operators and commodity trading advisors; FINRA and NFA membership; trade related compliance and reporting; the development and implementation of compliance policies and procedures; contract preparation and negotiation; regulatory examinations (periodic, sweep, cause); marketing arrangements, materials and practices; state lobbyist registration and blue sky laws; seed investment and other strategic transactions; fund leverage arrangements and derivative transactions.
Mr. Eisenberg actively participates in a number of industry organizations, and is a frequent lecturer and panelist at industry events. Recent speaking engagements have covered a variety of topics, including: recent legislative and regulatory initiatives directed at the investment fund industry; preparing for and undergoing an SEC examination; trends in regulatory examinations; the formation and operation of hedge funds; investment adviser and placement agent registration and compliance; manager due diligence; and marketing arrangements and practices.
Prior to joining Finn Dixon & Herling, Mr. Eisenberg was a member and co-founder of Cobb & Eisenberg LLC, a law firm that specialized in representing hedge funds and other investment funds, investment advisers and broker-dealers. Mr. Eisenberg has also held associate positions at the New York City law firms of Winthrop, Stimson, Putnam & Roberts and Rogers & Wells.
Associations and Memberships
Managed Funds Association (MFA)
Regulatory Compliance Association (RCA)
CCO University (Senior Faculty Member)
RCA Compliance Officer Code of Professional Conduct Advisory (Board Member)
American Bar Association
Connecticut Bar Association
Connecticut Hedge Fund Association
Publications
CCO University Course: “Developing & Implementing an Investment Adviser Compliance Program” (available through the Regulatory Compliance Association)
Speaking Engagements
"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.", September 2011
"Regulatory Examination Briefing - Latest Inquiries and Comparative Analysis" (Moderator), Regulatory Compliance Association U.S. Centric Outreach Program, June 2011
"SEC Examinations - Briefing on Recent Examinations" (Moderator), Annual Spring Asset Management Thought Leadership Symposium, Regulatory Compliance Association, April 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 (View presentation)
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, 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", Financial Research Associates, May 2008
"Compliance & Operational Best Practices for Hard-to-Value Securities & Portfolios", Financial Research Associates, 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", Financial Research Associates, March 2007