Mark advises clients on the regulatory aspects of private funds, including fund formation, Investment Advisers Act compliance, and related agreements such as side letters, nondisclosure agreements, and investment management agreements. He works with investment advisers, banks, broker-dealers, investment companies, private funds, and emerging financial technology businesses on matters involving the SEC, FINRA, CFTC, federal banking regulators, anti-money laundering requirements, and the Bank Secrecy Act.
Mark spent 16 years serving in senior legal and compliance leadership positions at major global financial institutions. Drawing on that background, he approaches regulatory issues through both a legal and operational lens, helping clients balance compliance obligations with commercial objectives. He frequently serves as a strategic advisor to small and midsized fund managers and financial services businesses that may not have extensive in-house legal and compliance resources, often functioning as an extension of their internal legal and compliance teams.
He also has significant experience counseling clients operating in innovative and rapidly evolving sectors, including digital assets, cryptocurrency, tokenization initiatives, digital asset custody arrangements, stablecoin-related matters, and crypto-focused investment strategies.