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efrank@sglawyers.com

Eliott Frank

Partner

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Eliott Frank is a Partner at Sadis & Goldberg LLP and a member of the Regulatory and Compliance Group. Mr. Frank’s practice focuses on day-to-day and strategic legal & compliance matters relevant to hedge funds and asset managers, including regulatory initiatives, current and planned fund/product offerings, securities & investment matters and marketing activities. He has extensive experience with U.S. and global securities and regulatory matters related to asset management clients, including periodic filings, regulatory audits/exams, compliance manual updates and internal compliance reviews/training. He also advises clients on the implementation, management and enforcement of internal compliance programs, including best practices related to books & records, electronic communications, social networking, code of ethics & personal trading, use of expert networks, soft dollar use, valuation, trading matters and cybersecurity. Mr. Frank has experience advising clients on a broad range of business-related matters, including drafting and negotiating contracts and agreements ranging from investor side letters and co-invest agreements to technology agreements and licenses. He also works closely with clients with respect to investor documents, fund formation documents, marketing materials, due diligence documentation and other legal/compliance needs.

Prior to Sadis & Goldberg, Mr. Frank held various senior legal and compliance roles for more than a decade in the alternative asset management/hedge fund industry. Most recently, Mr. Frank was the General Counsel/Chief Compliance Officer with Senzar Asset Management LLC, a long/short equity hedge fund manager. Prior to that he served as General Counsel/Chief Compliance Officer to a multi-billion dollar AUM investment adviser. In previous roles, he was the Chief US Legal Counsel and Chief Compliance Officer to the hedge fund unit of the Swiss private bank Lombard Odier Darier Hentsch & Cie, Legal Counsel to Atticus Capital LLC and provided legal and compliance counsel to Rohatyn Group/TRG Management LP. He started his career as an Associate with Morrison & Foerster and Fried, Frank, Harris, Shriver & Jacobson.

Education

  • New York University School of Law (LL.M. (Taxation) 1997)
  • Ohio State University College of Law (J.D. 1996)
  • University of Michigan (B.A. 1993)

Admitted

  • New York

Practice Areas

Regulatory Compliance