Michael S. EmanuelPartner

Headshot image for Michael S. Emanuel

Offices


Services

Michael Emanuel focuses his practice on investment adviser and investment company regulation, the representation of private and public investment funds, hedge funds, family offices and their managers and commodity advisers in the formation, structuring and capitalization of investment funds.  Michael regularly advises on regulatory compliance, including risk assessment, examinations, enforcement and other matters before the SEC, CFTC, NFA and cross-border regulators. He also advises clients on investment management and other corporate law issues.

Following more than 20 years as general counsel, chief compliance officer, chief operating officer and senior vice president at leading registered investment management firms, family offices, global banks and other financial services and law firms, Michael has broad experience developing and implementing fund and adviser compliance programs, fund corporate governance, personal trading policies, custody and brokerage practices, prohibitions on “pay to play” practices, executive management structures and protection of investor privacy protections.  Michael leverages his experience and in-depth understanding of the issues surrounding registered investment advisers and broker-dealers to provide practical, business-minded solutions, with particular emphasis on both registered and private alternative investment products.

Michael advises clients in matters relating to fund, adviser and family office formation, infrastructure, administration, employment, operations, vendor management, risk management, development of internal U.S. and global compliance programs, best practices and testing, regulatory reviews, relationship management, fund and adviser mergers and acquisitions, client and investor contract negotiations and other corporate matters.


Speeches & Events

Michael regularly speaks at industry events and conferences and is a frequent contributor to industry publications.

His most recent engagements include:
 
  • Moderator, Stroock Family Office Symposium, New York, NY, November 8, 2018
  • Moderator, Corporate Counsel’s Hedge Fund General Counsel and Compliance Officer Summit, “Post GDPR: Evaluating Implementation Processes and Considering Lessons Learned,” New York, NY, September 26, 2018
  • Speaker, Financial Planning’s Invest: Innovations in Investing, Saving & Advice Conference, “Customer Acquisition * Growth Strategies * Fueling Customer Acquisition,” New York, NY, July 10-11, 2018
  • Speaker, The Legal Intelligencer’s In-House Counsel CLE Seminar, “Security and Privacy: Assessing Your Organizational Competence and Risk in a Data-Driven World,” Philadelphia, PA, June 27, 2018
  • Webinar presenter, Bloomberg’s 30 minutes on KYC and Beyond, “Managing a Regulatory Exam,” June 13, 2018

Publications

  • Co-author, “After the Lender Case — Securities Law Restrictions That Apply to Family Offices Managing Other People’s Money,” Stroock Special Bulletin, November 6, 2018
  • Co-author, “SEC Adopts Amendments to Regulation S-K to Simplify and Update Disclosure Requirements,” Stroock Special Bulletin, November 5, 2018
  • Co-author, “SEC Proposes Regulation Best Interest And Other New Standards Of Conduct For Broker-Dealers And Investment Advisers,” Stroock Special Bulletin, April 30, 2018
  • Co-author, “SEC Identifies Top 6 Investment Advisory Fee and Expense Compliance Issues for Investment Advisers,” Stroock Special Bulletin, April 19, 2018

Quoted In:
  • “Conflicts of Interest Questionnaires: Why Fund Managers Need Them, and What They Should Cover (Part One of Two),” Hedge Fund Law Report, December 6, 2018
  • “The Importance of Exercising Due Diligence When Hiring Auditors and Other Vendors,” Hedge Fund Law Report, June 21, 2018

Admitted To Practice

New York; New Jersey


Education

B.S.B.A., Washington University, 1989

J.D., Fordham University School of Law, 1995