Mr. Frolik counsels clients on a wide variety of issues including:
•Structuring domestic and offshore investment funds (including hedge funds, marketplace lending funds, crossover public/private funds, special purpose funds, and ERISA-only funds)
•Organizing investment management firms, including preparing and negotiating operating agreements among the owners of those companies
•Counseling investment advisers on federal and state regulatory issues (including SEC, CFTC, and state registration and ERISA) and advising them on all aspects of their ongoing operations
•Preparing and negotiating employment and severance agreements for a firm’s executive officers, portfolio managers, analysts, traders and other employees
•Preparing and negotiating investment management agreements for separately-managed accounts
•Preparing compliance manuals
•Negotiating fund administration agreements
•Negotiating ISDA agreements
Co-author of U.S. Regulation of Hedge Funds (first published by the American Bar Association in 2005 with a second edition published in 2013)
Conference speaking engagements include:
•ACA Compliance Conference (Hedge Fund Session) - San Diego, CA - October 2017
•Abacus/Imagineer Operational Efficiency & Compliance Seminar - San Francisco, CA - December 2016
•American Bar Association/International Bar Association Private Fund Conference - London 2016
•UBS Premier Client Conference - Scottsdale 2015
•First Republic Bank COO Forum - San Francisco 2015
•Financial Research Associates Private Investment Fund Accounting, Operations and Compliance Forum - San Francisco 2015
Listed in the International Who’s Who of Private Funds Lawyers, which features only the foremost practitioners (2016, 2017 and 2018).
Member of the organizing committee of the Bay Area Hedge Fund Roundtable, a group that facilitates communication, education and networking among the Bay Area alternative investment community.
Active member of the Public Policy Committee of the California Hedge Fund Association, a statewide organization that brings together members of the investment fund community to influence public policy that affects investment managers.
Speaker at various conferences and contributor to other books and articles regarding current issues facing investment advisers and private investment funds.
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