Carolyn S. Reiser

Carolyn S. Reiser: Attorney with Shartsis Friese LLP AV stamp icon
  • Partner at Shartsis Friese LLP
  • One Maritime Plaza, Eighteenth Floor, San Francisco, CA 94111
    View Carolyn S. Reiser's office location
  • Peer Reviews

    5.0/5.0
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Attorney Awards

Biography

Ms. Reiser is a partner in the Firm’s Corporate Department and a member of the Firm’s Management Committee. She joined the Firm in 1994 and become a partner in 1998. Ms. Reiser’s practice is focused on investment advisers and private investment funds. Her experience includes:

• Structuring and advising domestic and offshore investment funds. Recent fund formations have included marketplace (P2P) lending funds, as well as funds with more traditional equity and fixed income strategies.

• Negotiating and preparing advisory agreements with liquid alternative mutual funds, UCITs funds, single-investor funds, insurance-dedicated funds, and global asset management platforms.

• Organizing investment advisory firms and assisting them with state and federal investment adviser registration, commodity pool operator/trading adviser registration, and periodic regulatory examinations.

• Counseling investment advisory firms, including hedge fund managers, separate account managers, and family offices, about ongoing operational and regulatory matters, including compliance with the Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and ERISA.

• Developing and documenting compliance policies and procedures, including internal control and risk management processes.

• Representing investment advisory firms in acquisition, sale and restructuring transactions.

• Providing advice on a broad range of general business matters, including employment, consulting, compensation, licensing, strategic and succession planning, and marketing arrangements.

Before attending law school, Ms. Reiser worked as a securities analyst for Fred Alger Management in New York. Early in her legal career, Ms. Reiser was associated with Morrison & Foerster LLP in San Francisco, California.

Publications/Speaking

Senior Editor and Co-Author of U.S. Regulation of Hedge Funds, First and Second Editions, published by the American Bar Association in 2005 and 2013

Accolades

Recognized in Who’s Who Legal: Private Funds, 2016

Areas of Practice (2)

  • Investment Funds & Advisers
  • Corporate Securities

Education & Credentials

Contact Information:
University Attended:
University of Frankfurt, Germany, Fulbright Scholar, 1984-1985; Yale University, B.A., summa cum laude, Philosophy, 1984; Yale University, M.A., with honors, Philosophy, 1984
Law School Attended:
Yale Law School, J.D., 1990
Year of First Admission:
1990
Admission:
1990, California State Bar
Memberships:

Professional Activities

California State Bar

Birth Information:
Jacksonville, Florida, August 1, 1962
ISLN:
901762236

Peer Reviews

  • 5.0/5.0
  • High ethical standing icon
  • A Martindale-Hubbell Peer Rating reflects a combination of achieving a Very High General Ethical Standards rating and a Legal Ability numerical rating.

*Peer Reviews provided before April 15, 2008 are not displayed.

Documents (8)

Documents by this lawyer on Martindale.com

San Francisco, California

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