PROFILE

Mike Hart-Slattery advises clients on complex legal, regulatory, and compliance matters, with an emphasis on regulatory matters related to investment advisers and private equity funds. He is also a CFA® charterholder.

Mike has assisted clients in a broad range of matters, including:

• Structuring, managing, and operating investment advisers and investment funds, including fund formation and restructuring, GP-led secondary transactions, management team spin-outs, and minority stake investments
• SEC examinations and enforcement investigations
• Regulatory compliance, including with respect to the SEC’s Custody Rule, Marketing Rule, and Pay-to-Play Rule
• Portfolio company structuring
• M&A transactions involving asset managers
• Family office considerations

Before law school, Mike was an associate in the global equity beta solutions group of a large investment adviser. In his early career, he worked as a pricing specialist for a large custodian bank.