As a partner in the Investment Management/Mutual Funds Practice Group, Peter Hong advises clients in matters pertaining to the registration and regulation of registered and private investment companies, investment advisers, broker-dealers, commodity trading advisors and commodity pool operators under federal and state laws. His practice includes providing advice regarding compliance with regulations of federal and state securities and commodities regulatory authorities and self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA).
Prior to joining the firm, Mr. Hong served as special and senior counsel at the U.S. Securities and Exchange Commission (SEC). During his tenure as special counsel in the Division of Investment Management, he actively participated in and influenced positions to be taken with respect to legislation or rulemaking regarding investment company disclosure regulation.
Mr. Hong also served as senior counsel in the Office of Chief Counsel for the SEC’s Division of Enforcement. Mr. Hong also investigated and prosecuted violations of the Commodity Exchange Act and the rules thereunder as a trial attorney for the U.S. Commodity Futures Trading Commission (CFTC), Division of Enforcement in Washington, D.C. |
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