|
Mr. Cowen is Of Counsel in the Firm’s Business Department. His practice focuses on structuring and providing regulatory advice to hedge funds and other private investment funds, as well as investment advisers, broker-dealers and other financial services providers. He counsels derivatives market participants on swap transactions, foreign currency agreements and commodity futures regulatory issues. Mr. Cowen’s experience includes:
Organizing and providing ongoing advice to investment advisers and hedge funds, including master-feeder and side-by-side funds, on regulatory compliance matters.
Preparing various SEC and CFTC regulatory filings pertaining to hedge fund investment activities and interacting with portfolio managers on trading issues.
Counseling investment managers on trading issues, including agency cross and principal transactions, soft dollars, best execution and trade allocations.
Conducting comprehensive reviews of investment adviser compliance manuals, and drafting advertising policies, privacy policies, insider trading policies and code of ethics procedures.
Conducting on-site compliance reviews of investment advisory firms.
Supervising the organization and registration of new investment advisers, commodity trading advisers and commodity pool operators.
Prior to joining the Firm, Mr. Cowen served as Chief Compliance Officer and Counsel to a San Francisco-based hedge fund manager. Prior to that, Mr. Cowen was a senior associate with the law firm of Kirkpatrick & Lockhart Nicholson Graham, LLP where he counseled investment advisers and hedge funds on legal and regulatory compliance matters (2000-2005). Before that, Mr. Cowen was associated with a law firm in New York City and was previously a member of the legal department at Bear, Stearns & Co., Inc.
PROFESSIONAL ACTIVITIES
Mr. Cowen is a member of the American Bar Association (Business Law Section) and has served as an Executive Committee member of Hedge Funds Care (West Coast).
Mr. Cowen has also provided pro bono legal services to refugees seeking political asylum in the United States as referred by the Lawyers’ Committee for Civil Rights.
Mr. Cowen has spoken frequently at seminars and conferences on hedge funds and investment adviser regulation. He is a member of the faculty of the Investment Adviser Basic Training seminars sponsored by National Regulatory Services, and he has also spoken at seminars and workshops sponsored by Glasser LegalWorks, Opal Financial Group and the Institute for International Research Ltd. (London).
EDUCATION
Mr. Cowen received his JD (cum laude) from New York Law School in 1996 and his BA from Binghamton University with a dual major in Philosophy and Law & Society in 1993. Mr. Cowen is admitted to both the New York and California bars. | 