Leslie S. Cruz: Lawyer with Mayer Brown LLP

Leslie S. Cruz

Washington,  DC  U.S.A.
Phone+1 202 263 3337

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Experience & Credentials

Practice Areas

  • Corporate & Securities
  • Financial Institutions M&A
  • Private Investment Funds
  • Financial Services Regulatory & Enforcement
  • Investment Management
Contact InfoTelephone: +1 202 263 3337
Fax: +1 202 263 5337
University University of Maryland, B.A., Government/Politics, 1991
Law SchoolUniversity of Maryland School of Law, J.D., 1995
Admitted1996, Maryland; 1997, District of Columbia

Leslie Cruz serves as counsel in the Washington office and is a member of Mayer Brown's Corporate & Securities practice. Leslie focuses her practice on representing registered investment companies, investment advisers, and other financial institutions engaged in market, financial or investment management activities. She assists clients with a wide variety of matters, including the formation, registration, reorganization, merger, acquisition and liquidation of investment companies and investment advisers, and ongoing assistance with investment management regulatory and business matters. Her investment company representations have included mutual funds, exchange-traded funds, funds of funds, multi-managed funds, multi-series funds, multi-class funds and closed-end funds. Her investment adviser representations have included managers of managers, sub-advisers, real estate advisers, model portfolio advisers, wrap fee sponsors and participants, mutual fund allocation program advisers, private fund advisers and registered fund advisers.

Leslie assists clients with: exemptive applications, no-action letters, investment company registration statements and other regulatory filings, investment adviser registration forms and other regulatory filings, compliance procedures, corporate documents, service agreements (advisory, sub-advisory, fund accounting, administrative services, transfer agency services, distribution and others), and other regulatory and business filings and documents. She also provides guidance regarding domestic and foreign custody practices, personal trading and codes of ethics, investment company and investment adviser advertising (including website and Internet usage), social media practices, intellectual property licensing arrangements and related disclosures, securities lending arrangements, liquidity determinations and practices, trade and net asset value error correction practices, pricing and fair valuation policies, practices and operations, anti-money laundering compliance, privacy practices, and corporate governance issues affecting investment companies and investment advisers.

Leslie's practice also includes assisting clients with: investment company and investment adviser status analyses and opinions (including with respect to specific offerings or other transactions), Rule 2a-7 product analysis, revenue-sharing arrangements and various types of mutual fund intermediary agreements (e.g., administrative services, sub-TA, dealer/sub-distribution and shareholder servicing), prospectus delivery practices and procedures, SEC examinations and inquiries, mock examinations, targeted compliance and business practice reviews, internal investigations, due diligence reviews for various purposes (including review of potential business transactions and partners); affiliated transactions analysis; independent director status and analysis; corporate governance structures, practices and procedures (including board committee and classified board formations and operations), sub-adviser oversight practices, credit facilities and transactions, repurchase agreement facilities and transactions, derivatives and leveraged transactions, complex regulatory disclosures, investment company related bank regulatory matters, portfolio manager lift-outs, and spin-outs.

Leslie brings a thorough understanding and appreciation of the regulatory and market environments to counseling clients, and has a keen interest in new product development for investment companies and investment advisers.


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US Securities and Exchange Commission Announces 2015 Examination Priorities
Rory M. Cohen,Leslie S. Cruz,Peter M. McCamman,Stephanie M. Monaco,Amy Ward Pershkow, April 14, 2015
The Office of Compliance Inspections and Examinations (“OCIE”) of the US Securities and Exchange Commission (“SEC”) has announced its 2015 examination priorities. OCIE stated that, in 2015, it will focus on the following thematic areas: matters of importance to retiring or...

OCIE and FINRA Announce the Results of Cybersecurity Initiatives
Leslie S. Cruz,Andrew D. Getsinger,Amy Ward Pershkow,Jerome J. Roche,Jeffrey P. Taft, April 13, 2015
On February 3, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the US Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) announced the results of their cybersecurity examination...

US Securities and Exchange Commission Adopts Amendments to Money Market Fund Rule (Rule 2a-7)
Leslie S. Cruz,Peter M. McCamman,Amy Ward Pershkow, November 15, 2014
On July 23, 2014, the US Securities and Exchange Commission (“SEC”) by a 3-2 vote, adopted amendments to Rule 2a-7 under the Investment Company Act of 1940 (“1940 Act”), as amended (“Rule 2a-7” or the “Rule”).1 Rule 2a-7 imposes quality, liquidity,...

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Office Information

Leslie S. Cruz

1999 K Street, N.W.
WashingtonDC 20006-1101


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