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Mark D. Goldstein

Special Counsel
mark.goldstein@kattenlaw.com
New York Office
p+1.212.940.8507
f+1.212.940.8776
Overview

Mark Goldstein focuses his practice on advising investment advisers, mutual funds and private investment funds. Mark has more than 25 years of experience advising clients on compliance and regulatory requirements, corporate matters, and the federal securities laws. He has extensive experience advising on the formation, distribution, structuring and on-going operational aspects of a wide array of investment products, including mutual funds, private investment funds, offshore funds, funds offered to separate accounts of insurance companies as funding vehicles for variable products and separately managed accounts, as well as extensive experience counseling investment advisers regarding SEC examinations and transactional matters.

Prior to joining the firm, Mark was general counsel of an asset management firm with approximately $90 billion under management where he was responsible for all legal and compliance matters. He has been in house at asset management firms and broker dealers and he was chief compliance officer for several investment advisers and investment companies. He also worked for the US Securities and Exchange Commission's Division of Enforcement in New York.

Shown below is a selection of Mark’s engagements.

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