简介

Jeff Blumberg is an experienced investment management lawyer who helps clients navigate regulatory, corporate governance, business and structural matters.

Fund Managers

Jeff counsels registered and unregistered money managers, including:
  • Hedge fund managers
  • Investment advisers
  • Broker-dealers
  • Commodity trading advisers
  • Commodity pool operators

Jeff advises managers of both U.S. and offshore investment funds on daily operations and planning, funding, and structuring strategies that comply with regulatory requirements. He drafts and reviews fund documentation and agreements.

Investment Advisers

Jeff also counsels investment advisers, commodity trading advisors and commodity pool operators on operations and other key business matters, including:
  • Mergers and acquisitions
  • Regulatory investigations and examinations
  • Compliance policies and procedures
  • Contracts
  • Advertising
  • Securities valuation

In addition to advising many independent money management firms, Jeff advises investment managers that are affiliates of larger financial institutions, including banks and insurance companies.

Past Financial Services Experience

Prior to practicing law, Jeff spent seven years working in the financial services industry with one of the largest independent financial services firms in the Chicagoland area, where he provided advanced marketing support for the firm’s sales force, was a registered principal for the firm’s broker-dealer office and acted as the internal compliance officer for the firm.

资质

执业资格

Illinois

出庭资格

U.S. District Court for the Southern District of Illinois

教育

Chicago-Kent College of Law
J.D. with high honors, Order of the Coif (2000)

Stanford University
B.A. (1991)

见解和活动

其他角度
  • The Challenges of "Marketing" Private Investment Funds
    Ascendant Compliance Conference, April 2018
  • Chapter 16: Private Fund Specific Regulatory Requirements
    Modern Compliance: Best Practices for Securities & Finance - Volume II, Wolters Kluwer, 2017
  • Advertising and Social Media for Investment Advisers
    Securities & Commodities Regulation, Vol. 51, No. 4, February 21, 2018
  • The Annual Review: Preparation, Forensic Testing, Assessing Controls and Reporting
    Ascendant Compliance Conference, October 2017
  • CFTC and NFA Requirements: Exemption Considerations, Reporting and Portfolio Exposure
    Ascendant Compliance Conference, October 2017
  • Marketing a Private Fund
    National Society of Compliance Professionals National Conference, October 2017
  • Frontiers in Advertising & Social Media
    National Regulatory Services, Fall Conference, October 2017
  • SEC Perspectives on Regulation
    Panelist, 2017 Alternatives Leadership Forum Private Funds, August 2017
  • Current Trends in Fund Structuring
    Panelist, 2017 Alternatives Leadership Forum Private Funds, August 2017
  • Advertising Compliance in an Online World
    National Society of Compliance Professionals, 2016 Spring Compliance Conference, Newport Beach, April 2017
  • Guidance on Regulatory Filings
    National Society of Compliance Professionals National Conference, October 2016
  • Insider Trading: Omnipresent Risks
    Ascendant Compliance Conference, September 2016
  • Special Considerations for Marketing & Advertising Private Funds
    Financial Research Associates, Marketing & Advertising Compliance Forum for Investment Advisers, New York, August 2016
  • Regulatory Panel
    National Society of Compliance Professionals, 2016 Spring Compliance Conference, Chicago, May 2016
  • Policies & Procedures: The Cornerstone of Your Compliance Program
    National Society of Compliance Professionals, 2016 Spring Compliance Conference, Chicago, May 2016
  • Social Media Practical Workshop
    National Regulatory Services, Managing SEC Compliance, London, December 2015
  • Managing SEC Filing Requirements: ADV Parts 1 and 2, 13 F/G/H
    National Regulatory Services, Managing SEC Compliance, London, December 2015
  • Dealing With Futures in Private Funds: Exemptions, Registrations and Compliance Concerns
    National Society of Compliance Professionals National Meeting, November 2015
  • Investment Adviser Compliance and Practical Applications
    National Society of Compliance Professionals National Meeting, November 2015
  • Investor Class Compliance Issues
    National Society of Compliance Professionals National Meeting, November 2015
  • Compliance for Private Funds
    National Regulatory Services, Fall Conference, October 2015
  • Are Ethics and Values Becoming Extinct
    Ascendant Compliance Conference, September 2015
  • "Afterglow" — SEC Hot Topics: Succession Planning
    Ascendant Compliance Conference, September 2015
  • SEC Examination Priorities for PE Firms: Valuations
    National Society of Compliance Professionals Webinar, May 2015
  • The New Frontier: Crowdfunding for Non-Accredited Investors
    Introducing Online Capital to Real Estate Entrepreneurs, RealCap Chicago, April 2015
  • SEC Examination Priorities for PE Firms: Fee and Expense Practices
    National Society of Compliance Professionals Webinar, March 2015
  • Insurance — The Role of Risk Assessment & Mitigating Risks: Knowing What You Have Before You Need It
    Ascendant Compliance Conference, March 2015
  • Social Media Supervision and Regulation in the Insurance and Securities Industry
    Bank Insurance & Securities Association Annual Convention, March 2015
  • Managing MNPI & Trading Restrictions
    SCCG, Hot Topics in Financial Services & Securities Litigation, October 2014
  • Ethics in Law
    National Society of Compliance Professionals National Conference, October 2014
  • The Department of Labor as an Investment Management Regulator and Current Areas of Focus During Examinations
    Co-presenter, Chicago Compliance Group, September 2014
  • SEC Examinations for Investment Advisers
    National Regulatory Services, Chicago Investment Adviser Compliance Symposium, July 2014
  • Implications of Pay to Play Rules
    National Regulatory Services, 29th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, May 2014
  • Private Fund Marketing
    National Society of Compliance Professionals, Chicago Regional Meeting, April 2014
  • Distribution Issues for Private Funds
    National Society of Compliance Professionals National Meeting, October 2013
  • Compliance Time Management
    Ascendant Compliance Conference, September 2013
  • Investment Advisers Act of 1940: Sections 201-224 and Related Rules
    NRS Education, Investment Advisers Compliance Training, June 2013
  • Personal Trading: Making Your Program More Effective and Efficient
    NRS Education, Spring Compliance Conference, May 2013
  • Documenting Your Compliance Program
    ACA Compliance Group Compliance Program, April 2013
  • Advertising/Marketing/Social Media
    National Society of Compliance Professionals, March 2013
  • Conflicts of Interest (Small Firms)
    National Society of Compliance Professionals National Meeting, October 2012
  • Insider Trading Concerns Should Still Keep You Up at Night
    Ascendant Compliance Conference, September 2012
  • Understanding the Structure of Private Funds
    National Society of Compliance Professionals, Midwest Regional Meeting, April 2012
  • Principles of Sound Fund Management
    Ascendant Compliance Conference, March 2012
  • Cloud Computing: Electronic Storage
    Ascendant Compliance Conference, March 2012
  • Raising Capital and Marketing Your Fund
    National Society of Compliance Professionals National Meeting, October 2011
  • Investment Advisory Agreements
    Ascendant Compliance Conference, September 2011
  • New Whistleblower and Anti-Retaliation Procedures
    Ascendant Compliance Conference, September 2011
  • The Accuracy of Disclosures Made to Clients
    Ascendant Compliance Conference, March 2011
  • The Distribution of Products
    Ascendant Investment Adviser Compliance Conference, September 2010
  • Fundamentals of Compliance and Best Practices for Private Funds and Hedge Funds
    National Society of Compliance Professionals National Meeting, November 2010
  • Critical Annual Review Tasks
    Ascendant Investment Adviser Compliance Conference, Washington, D.C., September 2010
  • New SEC Custody Requirements and the Mandate to Safeguard Client Assets
    National Regulatory Services, Annual Spring Compliance Conference, April 2010
  • A Focus on Hedge Funds
    Ascendant Investment Adviser Compliance Conference, March 2010

领导力和社区

职业协会

  • National Society of Compliance Professionals — Board of Directors, 2013-16 (Governance Committee 2016-present)

市民活动

  • Help for Children — Midwest Board
  • American Youth Soccer Organization (AYSO) — Deerfield Regional Board, Area Board

荣誉

  • Chicago Daily Law Bulletin — 40 Illinois Lawyers Under 40 to Watch, 2007
Faegre Baker Daniels 网站使用 Cookie 来提升您的浏览体验。