John's practice is focused on representing asset managers and their affiliates on regulatory, compliance and transactional matters. John represents U.S. and non-U.S. investment advisers as well as mutual funds, hedge funds, real estate funds, bank-managed collective investment funds, private equity funds and venture capital funds. He also represents the independent directors to mutual funds. He regularly interfaces with U.S. regulators on a broad range of matters, including exemptive order applications, no-action letters, registration statements and examination inquiries.
John has significant experience with onshore and offshore money market funds and other types of cash management products. He negotiates on behalf of his clients’ derivatives (ISDA), securities lending and repurchase agreement documentation, as well as custody and distribution arrangements. He also assists asset managers and fund sponsors in organizing and operating U.S. and non-U.S. collective investment vehicles, including registered/publicly offered mutual funds, commodity pools and hedge funds organized in the Luxembourg, Ireland, Australia, the Cayman Islands, Bermuda, the British Virgin Islands, and many other offshore jurisdictions. Over his career, John has interacted extensively with non-U.S. regulators.
John has practiced corporate law with other national firms in Boston and San Francisco. Prior to that he was the general counsel and chief compliance officer of IXIS Asset Management Global Associates (now Natixis Global Associates) and was responsible for all legal and compliance matters of that firm’s investment advisers, investment funds and distribution companies organized in Luxembourg, Ireland and Australia, as well as its subsidiaries and branches located in Europe, Asia and the Middle East.
Bar & Court Admissions
- Massachusetts
- London and Wales (Registered foreign lawyer)
Education
- J.D., University of Cincinnati College of Law
- B.A., Middlebury College
Community Engagement
- Boston Bar Association
Awards & Honors
- The Legal 500 U.S. (2018-2022)
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Press ReleaseJune 8, 2022
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Client AlertFebruary 25, 2022
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FinOps Report, QuotedSeptember 7, 2021
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Press ReleaseJune 9, 2021
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Client AlertDecember 3, 2020
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Ignites, QuotedJuly 2, 2020
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Press ReleaseJune 10, 2020
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April 16, 2020
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FundFire, QuotedApril 1, 2020
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Client AlertMarch 16, 2020
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FundFire, QuotedJanuary 22, 2020
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Client AlertJanuary 3, 2020
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Client AlertDecember 6, 2019
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Client AlertNovember 15, 2019
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FundFire, QuotedOctober 2, 2019
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FundFire, QuotedAugust 28, 2019
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Sullivan Press ReleaseMay 30, 2019
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Ignites, QuotedMay 14, 2019
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FundFire, QuotedJanuary 16, 2019
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Ignites, QuotedNovember 29, 2018
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Board IQ, QuotedNovember 20, 2018
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IgnitesOctober 19, 2018
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Ignites, QuotedSeptember 6, 2018
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Ignites, QuotedAugust 24, 2018
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Ignites, QuotedAugust 22, 2018
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Ignites, QuotedAugust 8, 2018
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ETF Express, QuotedApril 19, 2018
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Press ReleaseApril 11, 2018
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Ignites, QuotedJanuary 31, 2018
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Hedge Fund Legal & Compliance Digest, QuotedAugust 11, 2017
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Client AdvisoryMarch 17, 2017
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Client AdvisoryMarch 1, 2017
Seminars & Presentations
- Staying Abreast of Alternative Investment Strategies
NSCP National Conference (October 17, 2022) - Offshore Money Funds and Ultrashorts
The Hyatt Regency, Boston, MA (January 21, 2022) - Irish Investment Limited Partnership Law Amendments: Q&A
Zoom virtual program (March 16, 2021) - Offshore Money Funds & Ultra-Shorts
Crane Data Money Fund University (January 22, 2021) - Irish Investment Limited Partnership Law Amendments: Initial Observations
Virtual program (December 17, 2020) - Product Trends: Planning to Diversify Investors for 2021, Expanding Your Investor Potential
Ultimus Fund Solutions (December 8, 2020) - 2020 NSCP National Conference
National Society of Compliance Professionals (October 20, 2020) - Offshore Money Funds & Ultra-Shorts
Crane Data Money Fund University (January 24, 2020) - Fund Governance
Irish Funds 7th Annual UK Symposium (November 21, 2019) - European MM Reforms: Finishing Touches
Crane Data's European Money Fund Symposium (September 24, 2019) - What US Managers need to know about raising assets in Europe
(July 15, 2019) - European MMF Reforms & Offshore Funds
Crane's Money Fund University (January 18, 2019) - European Money Fund Reform Roundtable
Crane's European Money Fund Symposium 2018 (September 21, 2018) - Money Fund Regulations: 2a-7 Basics & History
Hyatt Regency, Boston, MA (January 18, 2018) - Director Discussion Series
Sullivan & Worcester Conference Center (October 30, 2017) - Money Fund University
The Westin Jersey City Newport (January 20, 2017)
- "New Regulations: The Devil is in the Details (a U.S. Perspective)" Crane Data European Money Fund Symposium (London, September 20-21 2016)
Practices
- Investment Management
- Broker-Dealer Regulation
- Corporate
- Corporate Governance & Board Advisory
- COVID-19 Resource Center
- Emerging Companies & Venture Capital
- Financial Derivatives
- Investment Advisers, Commodity Trading Advisors and Institutional Investors
- Private Equity Transactions
- Real Estate, Alternative & Offshore Investment Funds
- Registered Funds & Independent Trustees