Ms Wendy Cohen > Katten > New York, United States > Lawyer Profile

NEW YORK, NY 10022-2585
United States
Wendy Cohen photo

Work Department

Financial Services


Wendy E. Cohen, co-chair of the New York Financial Services group, represents investment managers and other sponsors of domestic and offshore securities and commodities hedge funds, funds of funds and other public and private pooled investment vehicles, as well as their service providers, including their managers, brokers, financial intermediaries and other financial institutions, and investment professionals. She provides advice on all corporate, regulatory and related matters facing investment funds, including structure and organization, ongoing operations, restructuring and dissolution.

Having practiced for 30 years in the financial services space with a focus on public and private investment funds, Wendy has amassed considerable experience relating to domestic and offshore offering requirements, 1933 Act and 1934 Act compliance, the application of Advisers Act regulations and 1940 Act avoidance.

Wendy is a frequent speaker and/or moderator at hedge fund-related events, including the Goldman Sachs Fifth Annual Managed Account Seminar, HFMWeek – CTA Intelligence Briefing on “Brexit for US Systematics,” 2016 Hedge Fund Marketing Leadership Summit panel “How to Gain Clients Outside the US,” and Katten panels “Recent Legal Developments on Securities and Derivatives Issues for Sell-Side and Buy-Side Market Participants” and “The Weakest Link: Where Is the Achilles Heel of Your Cybersecurity Program?” She has co-authored numerous articles, including “Cyber-Attacks and Developments in Cybersecurity” in The Review of Securities & Commodities Regulation and several Katten client advisories on investment adviser regulations under Dodd-Frank and Commodity Futures Trading Commission rules.


JD, New York University School of Law; BA, University of Pennsylvania, magna cum laude

Lawyer Rankings

United States > Finance > Financial services regulation

Combining ‘the highest-caliber legal intelligence with carefulness and cross-sectional business knowledge‘, Katten provides ‘user-friendly, responsive and commercial advice‘ to clients on both the buy and sell side. A particular strength of the firm is its ‘broad knowledge of derivatives law‘, where clients appreciate its ability to provide ‘practical, real-world advice‘ on the regulatory issues impacting exchange-traded and OTC derivatives across all asset classes and transaction types. Working alongside the firm’s London office, New York-based of counsel Guy Dempsey is assisting ICBC Standard Bank on all aspects of commencing a new swap business and registering as a swap dealer with the Commodity Futures Trading Commission (CFTC). Chicago-based practice co-head Lance Zinman has an excellent understanding of the regulatory regimes underpinning activity undertaken by hedge funds and proprietary trading firms. Alongside New York-based Allison Yacker, he recently advised Waterfall Asset Management on the creation of a fund structure that facilitates investment by non-US persons in assets that generate income effectively connected to a US trade or business. Wendy Cohen is recognized as a ‘standout practitioner‘ for broker-dealer matters and is a key member of the team, as are ‘rock star‘ Henry Bregstein and Arthur Hahn, who also co-head the team from New York and Chicago, respectively. Other clients include Royal Bank of Canada, UBS and Futures Industry Association.

United States > Investment fund formation and management > 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.