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Simon represents alternative investment funds, including hedge, private equity and venture capital funds and their sponsors, managers and investors in a broad range of matters relating to their structuring, formation, corporate governance, operations and regulatory compliance. His clients include SEC and state registered investment advisers, commodity pool operators, broker dealers, and managers based in foreign jurisdictions. Simon is also counsel to a wide range of companies, advisors, funds and issuers in the cryptocurrency space.
Having launched in excess of 300 funds since 2011, he represents funds pursuing a diverse range of liquid and illiquid strategies including cryptocurrency/digital asset, global macro, real estate, micro-cap, forex, futures, statistical arbitrage, multi-strategy, emerging market, sector focused, volatility arbitrage, fixed income, cash advance, real estate tax lien, distressed company, as well as start-up company investments. Simon has broad experience representing issuers in private public offerings under Reg. D and Reg. A including initial coin offerings and other pre-sale token allocations. Simon also advises as to issues related to fund advertising and general solicitation, preparation of policies and procedures manuals, response to SEC and CFTC audits and general corporate and securities matters and routinely advises on legal issues arising under the Investment Advisers Act, the Investment Company Act, the Securities Act, the Securities Exchange Act, the Commodity Exchange Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Simon is the former Chairman of the Hedge Fund Association’s government lobbying committee. He is an honors graduate of the University of Connecticut School of Law and has practiced corporate and securities law since 1999.
Served as U.S. counsel to SEC registered investment adviser in establishing British Virgin Islands master feeder fund with a global macro value focus.
Represented former Goldman trader in registering as a CPO with the Commodity Futures and Exchange Commission in connection with structuring his statistical arbitrage fund.
Represented NYC based manager in forming and structuring first-loss multi-strategy hedge fund and negotiation of side letter agreement with third party managers.
Registered investment adviser in Texas and structured his multi-class REIT focused fund where no performance or management fee was payable but manager was compensated with dividends on levered investments.
Served as US counsel to Hong Kong based manager in established of BVI registered management company and fund with global macro and options focused strategy.
Represented NYC based manager in establishing fund and investment management entities to pursue volatility arbitrage based investment strategy.
Represented Louisiana based CPO in connection with claims brought against manager by the CFTC for violations for Commodity Exchange Act.
Advised client in structuring his investment management company to sell interests to seed investors and protect IP in his proprietary trading technology.
Structured real estate focused private equity fund focused in student housing with $800 million in target commitments.
Represented RIA in establishing “hybrid” hedge fund with a private equity fund of funds and liquid investment strategy. .
Represented manager is establishing off-exchange retail forex focused fund. .
Served as U.S. counsel for master feeder fund investing in municipal real estate tax lien obligations. .
Represented Hong Kong based manager in formation of BVI credit fund.
Represented manager in formation of venture capital fund focused on start-up technology companie
Proposed FINRA Rule 5123: Enhanced Investor Protection or Unnecessary Regulatory Burden?, Hedge Fund Capital Introduction Blog, April 2012