Ms. Mattick has been engaged in the following transactions, among others, within the last five years:
- Work with cryptocurrency intermediary who was recommending crypto trades with automated algorithms to retail investors, concerning likely CFTC regulation, exemptions from registration requirements and ways to structure its business to streamline regulation.
- Work with cryptocurrency intermediaries, responding to SEC inquiries and guiding them regarding broker dealer registration or investment adviser exemption/registration and creation of a private fund. Included creation of a CA exempt and NM exempt investment adviser and private fund.
- Creation and structuring of two new adviser/fund organizations for clients new to investment management and desiring to combine assets to invest in local opportunities. These transactions include: registration or exemption from state adviser regulation, choice of entity for the fund, determination to use a public-facing or private offering process, drafting the documents and making the filings to make a new adviser to a new fund happen.
- Standing up a new private fund and investment adviser exempt from registration at the state level in FL, including drafting the fund and adviser governing documents; drafting material contracts for servicing of the investment assets; creating the information disclosure document, subscription agreement and notice filings for the unregistered offering of the fund; and structuring the fund and its information disclosure to allow benefit plan investors to invest.
- Work with a registered investment adviser and its Chief Compliance Officer on an on-going basis to put in place adequate controls and directives to employees and vendors to create compliance with obligations of investment advisers and funds; Work to seek compliance with the custody rule, soft dollar limitations and performance fee rule. Currently, the adviser has $923 million under management.
- Continuing work with the same investment advisor sponsor to create a private fund complex as a vehicle to manage other portfolios, to include formation of the non-registered fund, the private placement for investors in the fund, negotiation of the administrative services, prime broker and custodian agreements, and on-going compliance issues.