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Marie T. DeFalco is Vice Chair of the firm's Investment Management Group, which was selected as one of the preeminent practices in the United States for its representation of hedge funds and other private funds (2011 and 2010) and derivatives/private equity work (2011) by Best Law Firms, published by U.S. News and Best Lawyers.
Ms. DeFalco represents investment management clients throughout the United States and internationally. She specializes in structuring business transactions to maximize the achievement of clients' goals, from both a business and tax perspective, particularly transactions involving limited liability companies and partnerships. Ms. DeFalco assists clients with the formation and operation of hedge funds and private equity funds, in the organization of joint ventures, and in the negotiation of shareholder and limited liability company agreements. She chairs the Fund Formation and Private Offerings; Ongoing Fund Representation section of the Investment Management Practice Group. Ms. DeFalco holds an A.B. in Economics from Cornell University and a J.D. from Yale Law School. She is admitted to practice law in New York, New Jersey, and Connecticut.
Recent Speaking Engagements
- Moderator, "Non-Correlated Alternative Investments," IvyPlus Trends in Family Offices Seminar, San Francisco, California, Marie T. DeFalco, Esq., September 14, 2011
- Moderator, "Regulatory Landscape: Now that we are all (mostly) registered, what happens next?" HFM US Operational Leaders Summit, Delamar Greenwich, CT, Marie T. DeFalco Esq., Peter D. Greene Esq., Elaine Hughes Esq., Matthew A. Magidson Esq., June 13, 2011
- "The Compliance and Regulatory Environment for Fund Managers," IvyPlus Fund Manager Business Development Conference, Lowenstein Sandler, Roseland, NJ. April 20, 2011
- Co-panelist, "Fund Raising in a Post-Registration Environment," The Private Equity International CFOs and COOs Forum, New York City, Marie T. DeFalco Esq., January 20-21 2011
- Moderator, "Buying (and Selling) Secondary Interests in Alternative Investment Funds: Legal Issues," Ivy Plus Trends in Family Offices Event Series, Palm Beach, FL, Marie T. DeFalco Esq., December 7, 2010
- Chair, "Hedge Fund Compliance Summit" Financial Research Associates, New York City, Marie T. DeFalco Esq., November 15-16, 2010
- "The Regulatory, Compliance and Tax Environment for Fund Managers - Webcast," Lowenstein Sandler/Thomson West Legal Webinar Series, Marie T. DeFalco Esq., September 28, 2010
- "Marketing and Advertising Activites - Emerging Issues and Opportunities," Regulatory and Compliance Association - US Centric Simulcast, Marie T. DeFalco Esq., July 28, 2010
- "The Compliance and Regulatory Environment for Fund Managers," IvyPlus Fund Manager Business Development Conference - Capital Raise and Compliance Agenda, Lowenstein Sandler, Roseland, NJ. Marie T. DeFalco, Esq., June 15, 2010
- "Panel: Fair Market Valuation - Implementing FAS 157 in 2009," WIN Investor Forum, Pfizer-Wyeth, Monmouth Junction, NJ, Marie T. DeFalco Esq., June 2, 2010
- "Panel: Legislative and Regulatory Update," Private Equity in a Changing Market, Eisner LLP, New York, NY, Marie T. DeFalco Esq., January 28, 2010
- "Deferred Compensation for Fund Managers Post 457A," Roundtable Event, Lowenstein Sandler, New York, NY, Marie T. DeFalco Esq., Andrew E. Graw Esq., and Karen W. Scheffler Esq., December 9, 2009
- "Alternative Asset Management - An Industry in Transition," Annual Asset Management Through Leadership Conference Hosted by RCA, Hilton Hotel, New York, NY, Marie T. DeFalco, Esq., November 5, 2009
- "Regulatory Compliance Association and the National Futures Association," Sheraton Hotel & Towers, New York, NY, Marie T. DeFalco, Esq., April 20, 2009
- "Herbert L. Jamison & Co. Conference on Partnership and Trust Agreements for Hedge Funds," Harvard Club, New York, NY, Marie T. DeFalco, Esq., March 19, 2009
- "Worst Approaches to People in Bad Markets", Credit Suisse Alternative Investment Managers CFO/COO Conference on the Rise of the Hedge Fund Investor, The Breakers, Palm Beach, FL, Marie T. DeFalco, Esq., March 1, 2009
- "The Valuation Process: Best Practices to Protect Your Fund," 7th Hedge Fund Auditing, Accounting & Administration Forum, Helmsley Hotel, New York, NY, Marie T. DeFalco, Esq., December 12, 2008
- Regulatory Outlook Panel, Hedge Fund and Private Equity Forum "2009 Investment Outlook," Eisner LLP, New York, NY, Marie T. DeFalco, Esq., December 8, 2008.
- "MarHedge's 3rd Annual Regulatory & Compliance Conference: Hedge Fund Best Practices at the Ritz-Carlton," Miami, FL, Marie T. DeFalco, Esq., December 2, 2008; Panel: "Valuation: The Prospective Climate in 2009." Presentation to Rothstein Kass auditors and tax professionals regarding private equity fund documentation, Westminster Hotel, Livingston, NJ, Marie T. DeFalco, Esq., November 3, 2008
- "The Hedge Fund Operational Risk and Compliance Summit," Delmar Hotel in Old Greenwich, CT, Marie T. DeFalco, Esq., June 25, 2008
- "IvyPlus: Hedge Fund Seeding and Emerging Managers," Lowenstein Sandler, New York, NY, Marie T. DeFalco, Esq., April 28, 2008
- "What I Know Now (That I Wish I Had Known Then) About Partnership," Practising Law Institute (PLI) seminar on Success Strategies for New Partners: Making Sense of Making Partner, PLI New York Center, New York, NY, Marie T. DeFalco, Esq., March 25, 2008
- "Hedge Fund Marketing and Sales: Practical, Business & Legal Concerns," WestLegal seminar on New Frontiers in Hedge Fund Due Diligence, Millennium Broadway Hotel, New York, NY, March 19, 2008
- "IvyPlus: Launching Your Hedge Fund / Private Equity Fund," Lowenstein Sandler, New York, NY, Marie T. DeFalco, Esq., December 4, 2007
- "MARHedge Conferences on Hedge Fund Best Practices: Operations and Regulatory Compliance," Institutional Investor, Ritz Carlton, Grand Caymans, Marie T. DeFalco, Esq., November 14- 16, 2007
- "Hedge Fund Due Diligence Conference: Legal Considerations," IncreMental Advantage, Harvard Club, New York, NY, Marie T. DeFalco, Esq., October 16, 2007
- "Current Issues and Trends: Fund Manager Compensation and Offshore Fee Deferrals," The Westin, Princeton, Marie T. DeFalco, Esq., September 18, 2007
- "Current Issues and Trends: Fund Manager Compensation and Offshore Fee Deferrals," The Delamar on Greenwich Harbor, Connecticut, Marie T. DeFalco, Esq., July 25, 2007
- "Partnerships, LLCs and LLPs: Organization and Operation," Choosing an Entity and Forming and Separating Partnerships and LLCs, Lorman Education Services, Best Western Fairfield Executive Inn, Marie T. DeFalco, Esq. and Brian A. Silikovitz, Esq., July 19, 2007
- "Current Issues and Trends: Fund Manager Compensation and Offshore Fee Deferrals," Affinia Manhattan, New York, NY, Marie T. DeFalco, Esq., July 12, 2007
- "3rd Annual Fund of Funds Business Operations Forum: How Do Fund of Funds Address Concerns about Side Pockets, Exotic Instruments and Marking?" Financial Research Associates, LLC, The New York Helmsley Hotel, New York, NY, Marie T. DeFalco, Esq., May 2, 2007
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Why Is it So Hard to Launch a Hedge Fund Today?
Financier Worldwide, August 2011
Marie DeFalco
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Dodd-Frank Act Rulemaking - SEC Issues Order Adjusting Dollar Amount Thresholds For Qualified Client Rule Under the Advisers Act
Investment Management Client Alert, July 19, 2011
Scott Moss,
Marie DeFalco,
David Goret,
Cole Beaubouef
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FINRA Rule 5131: Spinning and Market Orders Provisions Delayed to September 26, 2011
Investment Management Client Alert, May 25, 2011
Marie DeFalco,
Scott Moss,
Douglas Cohen
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Marie DeFalco comments on the effects and prospects of the Dodd-Frank Act.,
Private Equity Manager, August 8, 2011
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Marie DeFalco comments on the rationale behind soft lock-ups as a hedge fund liquidity tool, particularly the redemption penalties associated with the premature sales of portfolio assets.,
The Hedge Fund Law Report, November 19, 2010
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Marie DeFalco comments on the EU Directive.,
Financial Times, October 26, 2010
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Yale Law School
(J.D., 1998),
Case Notes Editor, Yale Law Journal, Editor-in-Chief, Yale Journal of Law & the Humanities
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Cornell University
(A.B., 1995),
Phi Beta Kappa
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New Jersey Supreme Court, Honorable Stewart G. Pollock
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New Jersey
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New York
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Connecticut
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- Morris County Bar Association
- New Jersey State Bar Association
- Taxation Law Section
- New York State Bar Association
- Connecticut Bar Association
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