Mr Fred Santo > Katten > New York, United States > Lawyer Profile
575 MADISON AVENUE
NEW YORK, NY 10022-2585
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Mr Fred Santo
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.
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.
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
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.
Top Tier Firm Rankings
- Labor and employment > Workplace and employment counseling
- Finance > Structured finance: securitization
- M&A: middle-market (sub-$500m)
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Real estate > Real estate
- Finance > Structured finance: derivatives and structured products
- Media, technology and telecoms > Advertising and marketing: transactional
- Investment fund formation and management > Alternative/hedge funds
- Finance > Commercial lending
- Intellectual property > Copyright
- Industry focus > Environment: litigation
- Industry focus > Environment: regulatory
- Dispute resolution > Securities litigation - defense
- Intellectual property > Trademarks: litigation
- Industry focus > Transport: aviation and air travel - finance
- Dispute resolution > Financial services litigation
- Media, technology and telecoms > Media and entertainment: transactional
- Finance > Restructuring (including bankruptcy): corporate
- Industry focus > Sport
- Dispute resolution > Corporate investigations and white-collar criminal defense
- Dispute resolution > General commercial disputes
- Industry focus > Healthcare: service providers
- Media, technology and telecoms > Media and entertainment: litigation
- Private equity buyouts
- M&A/corporate and commercial > Private equity buyouts
- Tax > US taxes: non-contentious
- Finance > Financial services regulation