Joseph M. Mannon
Of Counsel
T: +1 (312) 609 7883
F: +1 (312) 609 5005
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Chicago
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E:
Joseph M. Mannon is a member of Vedder Price’s Investment Services group.
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 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.
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 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 registered and unregistered investment company boards.
Prior to rejoining Vedder Price, Mr. Mannon was the Associate General Counsel for one of the world’s largest hedge fund of funds advisers, where he was responsible for legal matters pertaining to 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.
In 2000, Mr. Mannon served as a judicial extern to the Honorable John W. Darrah, U.S. District Court for the Northern District of Illinois.
From 2001 to 2004, Mr. Mannon served as a staff attorney for the Division of Enforcement of the Securities and Exchange Commission. At the Commission, he litigated federal district court actions and conducted numerous investigations, including complex financial fraud investigations. In addition, Mr. Mannon investigated mutual funds, investment advisers and broker-dealers for violations of the pricing, valuation and books and records requirements of the federal securities laws. Mr. Mannon was awarded the Securities and Exchange Commission Chairman’s Award for Excellence in 2002.
Mr. Mannon is a frequent speaker on investment adviser compliance matters, and from 2008 to 2011 he led the Midwest CCO Compliance Roundtable.
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Illinois, 2001
- U.S. District Court, Northern District of Illinois, 2001
- Member, Chicago Bar Association
- Member, Association of the Securities and Exchange Commission Alumni
Upcoming and Recent Speaking Engagements
- Speaker, 2012 Ashland Client Conference, June 20-22, 2012, Jacksonville, Oregon
- Speaker, NRS 27th Annual Spring Compliance Conference, "Shark Infested Waters: Solicitation of Government Clients and Other Pay to Play Hazards," May 18, 2012, Williamsburg, Virginia
- Speaker, NRS 27th Annual Spring Compliance Conference, "Will Your Firm’s Part 2 Withstand SEC Scrutiny?" May 17, 2012, Williamsburg, Virginia
- Speaker, ACA Compliance Group and ACA Insight 2012 Spring Compliance Conference, "Regulatory Filings for Advisers," April 26, 2012, Ft. Lauderdale, Florida
- Speaker, NSCP Midwest Regional Meeting, "I(c) PF - Compliance Issues for the Newly Registered Adviser," April 2, 2012, Chicago, Illinois
- Speaker, National Society of Compliance Professionals (NSCP) National Meeting, "PF Lab—Disclosures and Side Letters," October 18, 2011, Baltimore, Maryland
- Speaker, National Regulatory Services webinar, "The New & Improved Registration Exemptions for Private Fund Advisers: Will Your Firm Be Required to Register with the SEC?," August 4, 2011
- Speaker, Important Voices 2011, "The New Rules - What You Need to Know," August 4, 2011
- Speaker, Wolters Kluwer webinar, "Managing Regulatory Changes," April 14, 2011
- Speaker, National Society of Compliance Professionals (NSCP) Midwest Regional Meeting, "IA/HF Compliance and Risk in Today’s World," April 11, 2011, Chicago, Illinois
- Speaker, Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society Annual Seminar, "Investment Advisors II," March 23, 2011, Phoenix, Arizona
- Speaker, NSCP National Meeting, "Legal Officer vs. Compliance Officer," November 2, 2010, Baltimore, Maryland
Presentations
- Co-presenter, "2012 Investment Adviser CCO Priorities - Preparing for a Successful Year While Confronting Regulatory Change," March 7, 2012
- Co-presenter, "The New Form ADV Part 1 and the Annual Update of Part 2: What Every Adviser Needs to Know," February 16, 2012
- Presenter, Investment Adviser Certified Compliance (IACCP) Training Program, "Understanding Fiduciary Duties under the Advisers Act," July 20, 2011
- Co-presenter, National Regulatory Services seminar, "A New Look at the Advisers Act: The State/Federal Regulatory Divide, Private Adviser Exemption, Supervision Requirements," July 19, 2011
- Presenter, National Regulatory Services seminar, "Defensible Due Diligence for Investment Advisers and Hedge Funds," June 21, 2011
- Presenter, Vedder Price webinar, "The Final Push for Part 2A of Form ADV and Pay-to-Play," March 9, 2011
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