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Navigating Ethical Challenges: A CLE Webinar for In-House Counsel at Private Fund Managers

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Join us for a CLE webinar on critical ethical issues facing legal and compliance teams at investment management firms. 

Join us for a CLE webinar on critical ethical issues facing legal and compliance teams at investment management firms. MoFo partners will explore scenarios addressing real world ethical dilemmas such as handling dual roles of in-house counsel and compliance officer, investigating potential conflicts, protecting attorney-client privilege, and ensuring compliance with regulatory requirements. Don't miss this opportunity to enhance your understanding and engage on topics related to ethics and professionalism in the private funds practice.<hr>

Navigating Ethical Challenges: A CLE Webinar for In-House Counsel at Private Fund Managers

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Stephanie, Chair of the firm’s global Private Funds Group, has over 20 years of experience advising on private fund formation and operations, as well as on regulatory compliance matters. She represents U.S. domestic and global fund sponsors and institutional investors in connection with the formation of, and investments in, buyout funds, venture capital funds, secondary funds, debt funds, infrastructure funds, fund–of–funds, social impact funds and other private funds with a broad range of investment strategies. She has been described by a client as “extremely knowledgeable in the fund formation space, very good to work with and thoughtful about the needs of her clients.”Private Fund Sponsors. Stephanie represents fund sponsors and the management teams of private funds in the formation of their private funds, as well as in ongoing fund operations, including upper–tier planning, parallel and feeder fund structures, alternative and offshore vehicles, securities law matters, ERISA compliance, transfers or sales of partnership interests, including secondary transactions, and other tax and regulatory matters.She has considerable experience negotiating anchor investor arrangements, navigating cross–border fund matters, structuring co–investment and overage programs, representing firms and individual partners at the time of hire or departure (including involuntary removal), and the formation of feeder vehicles, parallel funds and special purpose vehicles. She also advises U.S. and international companies in the structuring of their corporate venture capital programs.Institutional Investors. Stephanie has advised institutional investors in hundreds of private fund formations, involving foreign and domestic funds ranging in size from $40 million to $21 billion. These investors, including state and corporate pension funds, sovereign wealth funds, universities, fund-of-funds, insurance companies, and other institutional investors, have commitments ranging from $5 million - $1 billion on a per-deal basis. Her experience includes representing significant limited partner investors in some of the largest private market funds ever raised.Investment Advisers. Stephanie advises fund sponsors and other investment advisers on the principal aspects of the Investment Advisers Act and the Dodd–Frank Act. She assists her clients in navigating the regulatory landscape, including new state and federal registration requirements, exemption eligibility, compliance programs and ongoing compliance matters.Stephanie works in the firm’s Palo Alto office and is active in the business community. Prior to joining the firm in 2005, she was a member of the fund formation group in the Palo Alto office of Cooley LLP.

Stephanie Thomas

Chair of Global Private Funds Group

Kelley Howes is a Partner in the Denver office and Co-Chair of the Investment Management Group.Kelley has experience with a wide range of legal, regulatory, compliance, corporate governance, insurance, and other matters relating primarily to the representation of U.S. registered and unregistered investment companies, registered investment advisers, transfer agents, and broker-dealers.Kelley has counseled independent fund directors on governance issues, and has advised mutual funds on mergers, reorganizations, compliance, and regulatory matters, including examinations and enforcement matters.Kelley has more than 30 years’ experience in investment management-related matters. Prior to joining Morrison Foerster, she served as Executive Vice President and General Counsel of Janus Capital Group Inc., a NYSE-listed global asset management holding company. She also previously served as Senior Vice President and General Counsel of Janus Capital Management LLC, a U.S. registered investment advisory subsidiary of Janus Capital Group, and as President of the Janus funds and President of Janus Distributors LLC.Kelley is ranked by Chambers for her expertise in Registered Funds. She was also recognized as a "Top Lawyer" for Securities in the 2022 guide of 5280, Colorado's largest local publication and recognized as a “next generation lawyer” by Legal 500 US 2017.Kelley has served on the boards of directors of Young Americans Bank/Young Americans Center for Financial Education; ICI Mutual Insurance Company; and the Denver Metro Chamber of Commerce.

Kelley Howes

Co-chair of Investment Management Group

Ellen Ratigan is Deputy General Counsel to Morrison Foerster.  In this role, Ellen creates and implements risk management and compliance procedures, advises on legal and business issues involving policies and internal controls, and handles ethics and professional responsibility matters and other legal issues involving the Firm and its attorneys. Before joining the Office of General Counsel at Morrison Foerster, Ellen was an assistant general counsel and litigator at another large law firm.  In the general counsel’s office, Ellen focused on risk management, compliance, conflicts of interest and ethical issues, and litigation involving the firm.  As a litigator, Ellen represented individuals and companies in government and internal investigations, and defended companies and their officers, directors and employes in complex commercial and securities litigation in federal in state courts at both the trial and appellate levels.  Her substantial pro bono experience included arguing civil rights cases before the United States Court of Appeals for the Third Circuit.  Ellen clerked for the Honorable D. Michael Fisher on the United States Court of Appeals for the Third Circuit and the Honorable J. Curtis Joyner on the United States District Court for the Eastern District of Pennsylvania.  She received her J.D. from the University of Pennsylvania Carey Law School and her B.A. from the University of Pennsylvania.

Navigating Ethical Challenges: A CLE Webinar for In-House Counsel at Private Fund Managers

10 Dec 2024 10:00 AM - 11:00 AM PST