Patrick Hayes
Patrick serves as Leader of Calfee’s Investment Management practice and represents and supports advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. His clients include wealth management firms, private equity advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptotraders, FinTech and Robo-advisers, mutual fund trusts, and institutional equity and fixed income asset managers. As a member of the Corporate and Finance group, Patrick also serves as outside general counsel to draft, coordinate and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings and other related materials. Patrick conducts due diligence and monitors activities of sub-advisers, third-party managers and relevant service providers, and will assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general and local authorities. In 2020, Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick designed the podcast as a personal master class for the securities industry’s legal and compliance professionals. Patrick serves on the board of directors for the National Society of Compliance Professionals and a member of the Regulatory Advisory Committee, Strategic Planning Committee, and Chair of the Governance Committee. He carries both Series 7 and Series 24 securities licenses, and is licensed to practice law in the state of Ohio and the Commonwealth of Kentucky.
3c. ALL LAB – MNPI: Preventing Illegal “Insider Trading” (Intermediate - CLOSED)