Financial Services and Investment Management

Partner

Mark D. Perlow represents mutual funds, hedge fund managers, fund independent directors, investment advisers, and broker-dealers on a broad range of regulatory and transactional matters. Mr. Perlow has extensive experience structuring, forming and reorganizing mutual funds and hedge funds; preparing and negotiating fund documents and agreements; and assisting clients on adviser and fund mergers, acquisitions, and adoptions. Mr. Perlow has counseled both fund sponsors and fund investors on regulatory aspects of and issues posed by alternative funds, derivatives, short selling, market structure, and exchange-traded funds. He also advises investment adviser and fund sponsors on fintech matters, including marketplace lending and online investment advice.

Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Mr. Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity. Mr. Perlow regularly assists funds, broker-dealers, and investment managers on agreements relating to regulation and distribution, and represents them before the SEC and FINRA in connection with registration, exemptive applications, no-action and interpretive requests, enforcement actions, examinations, and transactional and disclosure filings. He has also counseled clients on compliance issues regarding the Dodd-Frank and Sarbanes-Oxley Acts.

Mr. Perlow serves as managing partner of the firm’s San Francisco office. He is a frequent author and speaker on securities law and investment management topics. Currently, he is an adjunct lecturer at the University of California, Berkeley Law School. Prior to joining Dechert, he served as a partner in the San Francisco office of another international law firm.

American Bar Association, Committee on Federal Regulation of Securities, Subcommittee on Investment Companies and Investment Advisers, Task Force on Investment Company Use of Derivatives and Leverage, and the Drafting Committee for Comment Letter on Money Market Fund Reform Federal Bar Association HFC, West Coast Committee West Coast ’40 Acts Group

University of California, Berkeley, A.B., 1986, summa cum laude University of Oxford, M.A., 1988, Newton-Tatum Scholar Yale Law School, J.D., 1991, Executive Editor for the Yale Journal on Regulation, Olin Fellow in Law, Economics and Public Policy