Joseph (Joe) Mannon Email & Phone Number

Mr. Mannon focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds and unregistered vehicles such as hedge funds, hedge fund of funds, private equity funds, private equity fund of funds and other investment entities. With regard to unregistered vehicles, he frequently counsels clients on fund formation and structuring matters for funds organized both in the United States and abroad. He also counsels clients on issues relating to commodity trading advisers and commodity pool operators, including the registration process and how to avail your firm of potential exclusions and exemptions from registration. Mr. Mannon has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. He also counsels advisers on trading agreements, including brokerage and derivatives agreements. He also conducts mock Securities and Exchange Commission (SEC) examinations and represents clients before the SEC and other regulators in examinations and investigations. Mr. Mannon also spends significant time counseling investment company boards. Prior to rejoining Vedder Price, Mr. Mannon was the Associate General Counsel for a large hedge fund of funds adviser, where he was responsible for legal matters for various registered and unregistered products, including offering materials and international registration requirements, as well as overseeing the firm’s day-to-day compliance program. Prior to that, Mr. Mannon was an associate in the Investment Services Group of Vedder Price. Mr. Mannon is a frequent speaker on investment adviser compliance matters, and from 2008 to 2011 led the Midwest CCO Compliance Roundtable.Mr. Mannon was selected as an Illinois Rising Star for 2013 and 2014 by the Illinois Super Lawyers publication.Specialties: Fund formation, Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, State, International Blue Sky Matters and Commodity Exchange Act of 1936

Listed skills include Hedge Funds, Securities, Private Equity, Investments, and 15 others.