Matthew R. Silver is an associate in the Financial Services Practice Group of Pepper Hamilton LLP, resident in the Philadelphia office. Mr. Silver concentrates his practice on the representation of investment management clients, particularly investment advisers, broker-dealers, hedge funds and other alternative investment funds, in all aspects of their business cycles.
Representative engagements include:
- forming and structuring funds and creating and negotiating underlying fund documentation (private placement memoranda, operating agreements, etc.)
- creating, updating and advising about supervisory and compliance related manuals and procedures for FINRA member brokers
- negotiating ISDA swap agreements
- interfacing/responding to SEC and FINRA inquiries, inspection issues and complaints
- disciplinary and regulatory reporting matters and evaluations, including Form ADV, Form BD and U-4 concerns
- forming, acquiring and/or selling brokers and investment advisers (including being involved in the associated due diligence reviews and shepherding the FINRA Rule 1017/1014 processes)
- FINRA Rule 3310 Anti-Money Laundering compliance testing
- creating and advising about political contribution / pay-to-play policies; policy enforcement
- assisting with registered investment company (mutual fund) matters.
Mr. Silver’s publications include:
- “When do International Activities Trigger U.S. Broker-Dealer Registration?” (co-author), Bloomberg Law Reports – Securities Law, December 2006
- “Securities, Commodities and Exchanges: Shareholder Approval of Stock Option Plans — NYSE Rule 312” (co-author), Developments in Administrative Law and Regulatory Practice, American Bar Association’s Section of Administrative Law and Regulatory Practice (2000-01)
- “Securities, Commodities and Exchanges: NYSE Developments” (co-author), Developments in Administrative Law and Regulatory Practice, American Bar Association’s Section of Administrative Law and Regulatory Practice (1999 - 2000).
Mr. Silver is admitted to practice in Pennsylvania and New York, as well as before the U.S. District Court for the Eastern District of Pennsylvania.