FacultyFaculty/Author Profile
Cary J. Meer

Cary J. Meer

K&L Gates LLP

Washington, DC, USA


Ms. Meer is a partner in K&L Gates’ New York City and Washington, D.C. offices and a member of the Investment Management and Hedge Fund practice groups.

Ms. Meer structures private funds as limited liability companies, limited partnerships, offshore corporations, common trust funds and business trusts, and prepares disclosure documents and organizational documents for such entities.  She also advises investment advisers, private fund managers and investment companies on compliance issues, including under the Investment Advisers Act of 1940 and whether their commodity interest-related trading or advice would require them to register as commodity pool operators or commodity trading advisors.

Professional/Civic Activities

  • 100 Women in Hedge Funds, Washington, D.C. Education Committee
  • Money Manager’s Compliance Guide, Editorial Advisory Board Member

PUBLICATIONS

  • SEC Proposes Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules, K&L Gates Investment Management Alert, June 18, 2015
  • NFA Requires Delegated CPOs to Identify Themselves, K&L Gates Hedge Funds Alert, April 10, 2015
  • Political Contributions and Paying to Play Panelist, ACA's Spring 2015 Compliance Conference, April 2015
  • Questions & Answers on State and Local Variations on the SEC Pay-to-Play Rule, K&L Gates Investment Management Alert, January 2015
  • CFTC Clarifies and Expands Relief Relating to Delegation of Commodity Pool Operator Responsibilities, K&L Gates Investment Management Alert, October 2014
  • CFTC Provides Streamlined No-Action Relief Filing Procedure, The Harvard law School Forum on Corporate Governance and Financial Regulation, June 21, 2014
  • NFA Seeks Comment on Capital Requirements for CPOs and CTAs, K&L Gates Investment Management Alert, January 30, 2013
  • Questions & Answers on State and Local Variations on SEC Pay-to-Play Rule, K&L Gates Investment Management Alert, November 2013
  • CFTC Adopts Harmonization Rules for Investment Advisers that are Commodity Pool Operators of Registered Funds, K&L Gates Investment Management Alert, October 29, 2013
  • Recent CFTC Guidance Regarding Cross-Border Swaps Relating to Collective Investment Vehicles, The Investment Lawyer, October 2013
  • What the CFTC Rule Revisions Mean for Registered Investment Companies and Their Investment AdvisersAn Update, The Investment Lawyer, July 2013
  • CPO Compliance Series: Registration Obligations of Principals and Associated Persons, The Head Fund Law Report, Vol. 6, No. 6, February 7, 2013
  • Preparing to be a Commodity Pool Operator: NFA Compliance Obligations, The Review of Securities & Commodities Regulation, January 2013
  • CPO Compliance Series – Marketing and Promotional Materials, The Hedge Fund Law Report, Vol. 5, No. 38, October 2012
  • CPO Compliance Series: Conducting Business with Non-NFA Members (NFA Bylaw 1101), The Hedge Fund Law Report, Vol. 5, No. 34, September 2012
  • Setting up a Compliance Program, The US Private Real Estate Fund Compliance Guide, Private Equity Real Estate Publications, May 2012
  • New Regulatory Approaches to Short Selling in the U.S. and the EU, Alternative Investment Management Association, March 2010
  • Compliance Corner: What Mergers Should Know About the SEC Staff’s Hedge Fund Sweep, ICCA Newsletter, December 2002
  • Federal and State Registration of Investment Advisers, Futures & Derivatives Law Report, September 2002
  • CFTC Amendments to the CPO and CTA Disclosure Rules, The Review of Securities & Commodities Regulation, January 1996
  • How Money Managers May Avoid the CFTC’s Commodity Trading Advisor Requirements, The Investment Lawyer, October 1995
  • Tab 900 – Regulation of Commodities, Money Manager’s Compliance Guide, 1994, 1995
  • Hybrid Instruments: Their Treatment Under Recent Commodity Futures Trading Commission Releases, Business Law, February 1991

Speaking Engagements

  • Panelist, 2015 K&L Gates Investment Management Conference, New York, NY, December 10, 2015
  • Co-Chair, “’Too Many Chiefs for Too Few Tribe Members?’ — Financial and Capital Market Compliance in a Fragmented World,” October 16, 2015, Sao Paulo, Brazil
  • Panelist, “ACA: M&A Transactions in the Investment Adviser Industry,” August 25, 2015
  • Moderator, “Hot Topics in CPO/CTA and Derivatives Regulation,” Investment Adviser Compliance Conference, Arlington, VA, March 5, 2015
  • Moderator, “Raising Private Fund Assets in the Global Markets - Focus on Asia, Australia, and the Middle East,” New York, October 22, 2014
  • Panelist, “AIMA Sound Practices & Global Regulatory Update,” New York, October 14, 2014
  • Panelist, “New York State Bar Association’s U.S. and Brazilian Legal Issues in the Creation of Funds,” São Paulo, Brazil, August 15, 2014
  • Panelist, “Alternative Investment Management Association’s Raising Money from U.S. Investors: Market Trends and Changes in Regulation,” Rio de Janeiro, Brazil, August 13, 2014
  • Panelist, “Hedge Fund Association’s Raising Money from U.S. Investors: Market Trends and Changes in Regulation,” São Paulo, Brazil, August 12, 2014
  • Moderator, “100 Women in Hedge Funds - Developments in the SEC and NFA Examination Programs,” Washington, D.C., June 25, 2014
  • Panelist, “Hedge Funds and the Regulatory Road Ahead” HFA Symposium, Washington, DC, May 19, 2014
  • Panelist, “Insider Trading Update” AIMA Hedge Fund Manager Training, New York, NY, May 14, 2014
  • Panelist, “What’s New with NFA Exams?” MFA Compliance 2014 Conference, New York, NY, May 7, 2014
  • Panelist, Hot Topics in CPO/CTA and Derivatives Regulation, 2014 IAA Investment Adviser Compliance Conference, Arlington, VA, March 6, 2014
  • Panelist, Hedge Fund Compliance & Regulatory Challenges 2014, New York, NY, January 28, 2014
  • Panelist, 2013 K&L Gates Investment Management Conference, New York, NY, December 10, 2013
  • Panelist, IAA Compliance Workshop, Houston, TX, November 6, 2013
  • Panelist, 2013 K&L Gates Investment Management Conference, Washington, D.C., October 30-31, 2013
  • Panelist, Beyond Compliance: Enterprise Risk Management, ACA Compliance Group Fall 2013 Compliance Conference, October 10, 2013
  • Panelist, HFA Symposium: Raising Capital in the United States: The Changing Regulatory Landscape, São Paulo, Brazil, October 2, 2013
  • Panelist, How Do the New SEC/CFTC Harmonization Rules Affect Registered Funds and Their Advisers?, Washington DC, September 19, 2013, New York, September 26, 2013
  • Panelist, Alabama IA Compliance Forum, Birmingham, AL, July 25, 2013
  • Panelist, K&L Gates Eighth Annual Investment Management Conference, London, July 2, 2013
  • Panelist, Hedge Fund Association Symposium: Hedge Funds & the Regulatory Road Ahead, K&L Gates Program, June 13, 2013
  • Panelist, Compliance Issues for National Futures Association (NFA) Members, Investment Advisor Association Webinar, April 3, 2013
  • CFTC Panelist, ACA's Spring 2013 Compliance Conference, April 2013
  • Panelist, You Mean I’m a What?! CPO Registration for Fund Advisers Under CFTC Rule 4.5, 2013 ICI Mutual Funds and Investment Management Conference, March 18, 2013
  • Moderator - CFTC Compliance: CPO and CTA Registration and Derivatives Regulation, IAA Investment Adviser Compliance Conference 2013, March 7, 2013
  • Speaker – Preparing for AIFMD: Some Practical Tips for U.S. Managers, K&L Gates Program, March 5, 2013
  • Building an Effective Compliance Program, Hedge Fund Compliance and Regulation 2013 Program, January 29, 2013
  • New Rules and New Regulators: Navigating CFTC Rule 4.5., ICI Education Foundation 2012 Securities Law Developments Conference, December 12, 2012
  • IAA Compliance Workshop, Investment Adviser Association, November 27, 2012
  • Panelist, Do Your Derivatives Trading Activities Require You to be Registered as a Commodity Pool Operator by 1 January 2013?, K&L Gates Program, October 25, 2012
  • Registration Process and Compliance Obligations for Advisers to Commodity Pools Registering with the CFTC, Investment Adviser Association Webinar, October 3, 2012
  • Panelist, AIMA Brazil Network: SEC Registration and Regulation of Investment Advisers, K&L Gates Program, August 31, 2012
  • Panelist, U.S. Hot Topics, K&L Gates Program, June 27, 2012
  • Panelist, Do You Have to Register with the CFTC? The Impact of New CFTC Rules on Private Fund Managers, IAA Program, May 30, 2012
  • Panelist, Weighing Your Registration Obligations and Options: Exclusions and/or Exceptions, NSPC Program, April 30, 2012
  • Panelist, Compliance Challenges in Management Retirement Assets, ACA Compliance Group Spring 2013 Compliance Conference, April 25, 2012
  • Panelist, Significant Changes to CFTC Regulations Impacting Registered Investment Companies, K&L Gates Program, March 14, 2012
  • Panelist, Rescission of CFTC Regulation 4.13 (a)(4) Commodity Pool Operator Exemption and Impact on Private Fund Managers, K&L Gates Program, March 13, 2012

Admissions

  • District of Columbia
  • New York

Education

J.D., Harvard Law School, 1982 (cum laude)

B.S., University of Pennsylvania (1979) (summa cum laude)

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