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Katten

575 MADISON AVENUE, NEW YORK, NY 10022-2585, USA
Tel:
Work +1 212 940 8800
Fax:
Fax +1 212 940 8776
Email:
Web:
Katten.com

Fred Santo

Tel:
Work 1.212.940.8720
Email:
Web:
www.kattenlaw.com/Fred-Santo
Katten

Work Department

Financial Services

Position

Fred M. Santo represents sponsors and investment managers of domestic and international hedge funds, commodity pools and other public and private pooled investment vehicle, as well as investment managers, family offices, brokers, investment professionals, financial intermediaries and other financial institutions. He provides counsel on Securities Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) regulations, the Investment Company Act, the Investment Advisers Act, the Employee Retirement Income Security Act (ERISA), broker-dealer regulation and taxes. In addition, he has extensive experience with commodity pool operator (CPO) and commodity trading advisor (CTA) registration and compliance requirements and detailed knowledge of financial legislation including the Dodd-Frank Act. Fred is also a member of the firm's Board of Directors.

Fred has been described as being “as good as they come” (Legal 500). He is a frequent lecturer and author on topics of interest to the financial services industry, including securities and futures regulations affecting domestic and offshore private investment vehicles.

Fred previously served as national co-head of Katten's Financial Services practice. Prior to joining the firm, he was a senior attorney in the SEC’s Division of Corporate Finance and assistant general counsel to the CFTC. He began his career as a law clerk to the chief judge of the District of Columbia Court of Appeals.

Member

Fred is a member of the American Bar Association and the New York City Bar Association. He is also a member of the Committee on Government Relations of the Managed Futures Association.

Education

LLM, Georgetown University Law Center, 1977; JD, American University Washington College of Law, 1972; BA, Binghamton University, State University of New York, 1969


United States: Investment fund formation and management

Alternative/hedge funds

Within: Alternative/hedge funds

Fund formation mandates form the backbone of Katten's workload, however the team also has a strong reputation in the market for advising on quant funds and manager M&A deals. Lance Zinman and Allison Yacker advise Waterfall Asset Management on regulatory matters, fund formation, structuring and investment deals, while of counsel Fred Santo and Wendy Cohen assist Welton Investment Partners with fund restructuring matters. Other clients include AQR Capital Management and Burford Capital. Zinman leads the practice. Other than Zinman in Chicago, named lawyers are based in New York.

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