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Shearman & Sterling LLP

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Jay Baris

Work +1 212 848 4100
Shearman & Sterling LLP

Work Department

Investment Funds




Jay G. Baris has practiced in the asset management area for more than 35 years.

Jay is widely recognized for his breadth of experience representing registered funds, investment advisers, financial institutions, broker-dealers and independent directors on the full spectrum of financial services regulation, transactions and governance matters.  Jay’s work with registered funds spans mutual funds, closed-end funds, exchange-traded funds (ETFs) and business development companies (BDCs). He has extensive experience advising on the regulatory aspects of fund and investment advisory operations, and has represented numerous clients on mergers and acquisitions, reorganizations, compliance, exemptive applications and compliance issues. He also advises operating companies on “status” issues that arise under the Investment Company Act of 1940. More recently, he has been advising FinTech clients on cryptocurrency issues.

An active speaker and writer on issues concerning investment management and the regulation of financial institutions, Jay has been published in a variety of trade and general interest publications, Insights: The Corporate & Securities Law AdvisorThe New York TimesThe Wall Street Journal, The Review of Securities & Commodities RegulationFund ActionThe Review of Banking & Financial Services, Fund Directions and Fund Board Views.


  • Chair of the Task Force on Investment Company Use of Derivatives and Leverage of the Committee on Federal Regulation of Securities of the ABA’s Business Law Section
  • Previously, vice chair of the Committee on Federal Regulation and chair and vice chair of the Subcommittee on Investment Companies and Investment Advisers of the ABA’s Business Law Section
  • Member of the Board of Advisors of The Review of Securities & Commodities Regulation
  • Member of the Advisory Board of the Mutual Fund Directors Forum
  • Member of the Advisory Board of BoardIQ


Hofstra University, J.D.
Stony Brook University, B.A.

United States: Investment fund formation and management

Mutual/registered/ exchange-traded funds

Within: Leading lawyers

Jay Baris - Shearman & Sterling LLP

Within: Mutual/registered/ exchange-traded funds

At Shearman & Sterling LLP, the team is noted for its strength in assisting independent boards and managers with the gamut of mutual funds matters. Jay Baris and Nathan Greene ('true stand-outs on mutual fund board matters', according to clients) advise Victory Funds and its trustees on registered funds and ETF matters, including the acquisition of Harvest Volatility Management and USAA Asset Management in two separate transactions. Greene provides ongoing advice to First Eagle Funds, which manages $111bn. Other key lawyers include of counsel Paul Schreiber and of counsel Buddy Donohue. Other clients include SkyBridge Capital, Aberdeen Investment Funds and the independent trustees of Blackstone.

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