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Zachary guides investment advisers and other financial services firms and industry service providers on regulatory compliance and risk and related corporate matters such as contractual arrangements, business combinations and transactions, and employment issues.
With extensive knowledge of the Investment Advisers Act of 1940, state securities laws, and associated regulatory compliance requirements, Zachary works side-by-side with firm executives, chief compliance officers, and other compliance, legal, operational, and business personnel to develop and implement effective compliance programs and support successful new business initiatives. His clients include registered and unregistered commodity, digital asset, and other private fund managers, fintech companies, and broker-dealers, whom he counsels on registration and exemption requirements, firm and fund regulatory filings, and the development and day-to-day implementation of compliance policies and procedures.
Zachary also advises on the maintenance of books and records, data security, business continuity, and cybersecurity; compliance of advertising and marketing materials; and regulatory examinations, examination deficiencies, and enforcement investigations. He is skilled in the negotiation of a wide range of contracts, including investment management agreements, sub-advisory agreements, solicitor agreements, vendor agreements, and employment and independent contractor agreements.
Zachary has created and overseen compliance programs for both emerging and established investment advisers investing in the digital economy. He has advised managers of digital asset hedge funds, venture capital funds, and separately managed accounts, and has researched and identified compliance best practices for the registration, custody, and portfolio management of digital assets. His experience includes acting as the outsourced Chief Compliance Officer for affiliated registered investment advisers to private funds investing in digital assets and blockchain technology.
Zachary is a former Volunteer Associate in Public Service with the Securities Fraud Prosecution Section of the New Jersey Office of the Attorney General, where he assisted in the prosecution of civil enforcement actions against financial services firms and personnel and issuers of securities on behalf of the New Jersey Bureau of Securities.