Mark D. Perlow
Partner | San Francisco
Mark D. Perlow
  • A Deeper Dive: Implementing the New SEC Private Fund Adviser Rules — Dechert LLP, Webinar (January 23, 2024)
  • Advisers Act Marketing Rule Recent Developments and Ongoing Challenges — MFA Workshop, Webcast (July 24, 2023)
  • Marketing Rule Lessons Learned — 2023 Investment Adviser Compliance Conference, Washington, D.C. (March 13, 2023)
  • 2023 Directors' Institute — The Mutual Fund Directors Forum, Miami, FL (January 24 & 25, 2023)
  • Navigating the Recent SEC Rule Proposal - First Look: The SEC’s Liquidity and Swing Pricing Proposal — Dechert LLP, Webinar (November 10, 2022)
  • ESG: SEC Proposals and Industry Response — Los Angeles Investment Management Symposium, Dechert LLP, Los Angeles, CA (October 27, 2022)
  • ESG: SEC Proposals and Industry Response — San Francisco Investment Management Symposium, Dechert LLP, San Francisco, CA (October 25, 2022)
  • Navigating the Recent SEC Private Fund Rule Proposals | Session Three: Considerations for Open-End Fund Managers — Dechert LLP, Webinar Series (July 20, 2022)
  • Current Developments Affecting the Fund Industry – Environmental, Social and Governance (ESG) Investing – Financial Services Breakfast Briefing, Palm Desert, CA (March 29, 2022)
  • ESG at Center Stage — Virtual California Investment Management Symposium, Dechert LLP, Webinar (October 27, 2021)
  • Solicitation Under the Marketing Rule — IAA Investment Adviser Compliance Conference 2022, Washington D.C. (March 3-4, 2022)
  • Get Prepared for the New Investment Adviser Marketing Rule – Ask the Experts – Large firms  — IAA’s Investment Adviser Compliance Workshop, Webcast (November 4, 2021)
  • The New World of Investment Adviser Marketing – The Rule 206(4)-1 Amendments — Dechert LLP, Webinar Series (May 11 & 13, 2021) 
  • New Rule 18f-4: Registered Funds' and BDCs' Use of Derivatives Part 1 and Part 2 — Dechert LLP, Webinar Series (March 23 & 25, 2021)  
  • ESG Compliance Considerations for Investment Advisers and Private Funds/Equity (IA) — NRS Spring Compliance Conference, Webinar (May 18, 2021) 
  • Tips and Trends to Help Advisers Prepare for SEC Examinations — IAA’s Investment Adviser Compliance Conference, Webcast (March 4, 2021) 
  • Ask the Experts Panel — IAA Compliance Workshop, Webcast (December 23, 2020) 
  • ESG in an Era of Social and Political Change — 2020 Virtual California Investment Management Symposium, Webcast (October 27, 2020)
  • ESG Compliance Considerations for Investment Advisers (IA) — NRS Fall 2020 Compliance Conference, Webinar (October 27, 2020)
  • Valuation Developments: Board Perspective — Dechert webinar presented at the IDC Fund Directors Conference (October 22, 2020)
  • ESG Investment Strategies: Creating Value — Southern California Compliance Group, Quarterly Members Meeting (August 25, 2020)
  • FintechNEXT Webinar Series: The Venture Capital View of Fintech — Dechert LLP, Webinar (August 6, 2020)
  • SEC Private Fund Examinations: Recent Focus Areas — Dechert LLP, Webinar (July 8, 2020)
  • Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act — NRS Investment Adviser Certified Compliance Professional program, Webinar (June 3, 2020)
  • ESG Considerations for U.S. Asset Managers — Dechert LLP, Webinar (May 19, 2020)
  • Challenges for Fund Boards in Light of COVID-19 — The Mutual Fund Directors Forum, Webinar (March 27, 2020)
  • 2020 Directors' Institute  Mutual Fund Directors Forum, San Diego, CA (January 28, 2020)
  • ESG (Environmental, Social and Governance) — 2019 Los Angeles Investment Management Symposium, Los Angeles, CA (November 21, 2019)
  • ESG (Environmental, Social and Governance) — 2019 San Francisco Investment Management Symposium, San Francisco, CA (November 19, 2019)
  • Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act — NRS Investment Adviser Certified Compliance Professional program, Webinar (November 14, 2019)
  • Fund Structuring, Regulation & Taxation — Emerging Manager Forum 2019, San Francisco, CA (November 5, 2019)
  • Is Environmental, Social and Governance (ESG) a Compliance Responsibility? — ACA's Fall 2019 Compliance Conference, Lost Pines, TX (September 20, 2019)
  • What You Need to Know Now: SEC Standard of Conduct Rulemakings — Dechert LLP, Webinar (July 17, 2019)
  • California '40 Acts Group Luncheon Discussion — Co-hosted by Dechert LLP and Charles Schwab, San Francisco, CA (April 26, 2019)
  • Current Developments Affecting the Fund Industry — Financial Services Breakfast Briefing, San Diego, CA (March 19, 2019)
  • SEC Exams — IAA Investment Adviser Compliance Conference 2019, Washington D.C. (March 14-15, 2019) 
  • Hedge Funds Nuts & Bolts: Washington Update — Dechert LLP, Webinar (January 9, 2019)
  • Standards of Conduct Rulemaking / Advisers Act Update — 2018 Los Angeles Investment Management Symposium, Los Angeles, CA (November 14, 2018)
  • Washington Update — 2018 Los Angeles Investment Management Symposium, Los Angeles, CA (November 14, 2018)
  • Advisers Act Update — 2018 Los Angeles Investment Management Symposium, Los Angeles, CA (November 14, 2018)
  • Registered Funds Track — 2018 San Francisco Investment Management Symposium, San Francisco, CA (November 13, 2018)
  • Washington Update — 2018 San Francisco Investment Management Symposium, San Francisco, CA (November 13, 2018)
  • Compliance for Robo and Digital Advisers — ACA's Fall 2018 Compliance Conference, Scottsdale, AZ (October 3, 2018) 
  • Liquidity Rule Implications for Advisers — ACA Compliance Group’s Spring 2018 Compliance and Performance Conference, Amelia Island, FL (May 10, 2018)
  • Larger Firms: Considerations for Advisers Using Data Analytics in a Compliance Program — IAA Investment Adviser Compliance Conference 2018, Washington, D.C. (March 16, 2018)
  • The Board's Role in Adviser's Strategy — Mutual Fund Directors Forum 2018 Directors’ Institute, Scottsdale, AZ (January 23, 2018)
  • Hedge Funds Nuts & Bolts: Marketplace Lending — Dechert LLP, Webinar (January 10, 2018)
  • FinTech: The Future is Now — 2017 Los Angeles Investment Management Symposium, Los Angeles, CA (November 29, 2017)
  • Registered Funds — 2017 Los Angeles Investment Management Symposium, Los Angeles, CA (November 29, 2017)
  • Registered Funds Track — 2017 San Francisco Investment Management Symposium, San Francisco, CA (November 28, 2017)
  • FinTech: The Future is Now — 2017 San Francisco Investment Management Symposium, San Francisco, CA (November 28, 2017)
  • The Regulatory Apprentice: What Does the Trump Administration Mean for Financial Regulation? — 2017 San Francisco Investment Management Symposium, San Francisco, CA (November 28, 2017)
  • 2017 Fund Directors Conference — Presented by the Independent Directors Council, Chicago (October 24, 2017)
  • Regulatory Changes Impacting Registered Investment Companies and Service Providers —Ascendant Compliance Conference, Napa, CA (October 10, 2017)
  • Financial Firm Spotlight – Enforcement and Regulatory Update and Recent Developments — Securities Enforcement Forum West 2017, East Palo Alto, CA (May 10, 2017)
  • The Emerging Regulation of Robo-Advisers: Practical Advice — Dechert LLP, Webinar (May 2, 2017)
  • Liquidity Rule — West Coast '40 Act Group Lunch, San Francisco (April 27, 2017)
  • SEC Exams — 2017 IAA Investment Adviser Compliance Conference, Washington, D.C. (March 2, 2017)
  • 2016 Los Angeles Investment Management Symposium — Los Angeles, CA (November 10, 2016) 
  • DOL’s ERISA Fiduciary Rules Remake the World — 2016 San Francisco Investment Management Symposium, San Francisco, CA (November 9, 2016)
  • Private Funds Track — 2016 San Francisco Investment Management Symposium, San Francisco, CA (November 9, 2016)
  • Regulatory Shockwaves: Tectonic Shift or Minor Temblors? — 2016 San Francisco Investment Management Symposium, San Francisco, CA (November 9, 2016)
  • Private Funds: Continued Focus on Age-Old Practices with Emphasis on Disclosure and Fees — NRS 31st Fall Compliance Conference, Scottsdale, AZ (November 3, 2016)
  • Compliance, Risk & Enforcement Symposium –New York 2016™ — Presented by the Regulatory Compliance Association, New York (November 2, 2016)
  • Regulatory Hot Topics and SEC Initiatives for 2016 — NICSA West Coast Regional Meeting, Los Angeles (October 6, 2016)
  • Advertising & Marketing Lessons Taken from Recent Enforcement Cases — IA Watch: The Full 360° View West, San Francisco (June 9, 2016)
  • Regulation, Operations and Compliance (ROC) – Bermuda 2016™ — Presented by the Regulatory Compliance Association, Bermuda (April 17, 2016)
  • Alternative Investments and the Investment Advisory Practice: Due Diligence Best Practices — Presented by the Investment Advisor Association, Webinar (March 29, 2016)
  • 2016 Investment Adviser Compliance Conference  — A Seminar Provided by the Investment Adviser Association, Washington, D.C. (March 11, 2016)
  • ETFs Under the Microscope: Trends and Developments — 2015 San Francisco Investment Management Symposium, San Francisco, CA (December 9, 2015)
  • Hedge and Private Equity Funds in the Regulatory Spotlight — 2015 San Francisco Investment Management Symposium, San Francisco, CA (December 9, 2015)
  • Lessons from the Front Lines of SEC Enforcement and Trends to Watch in 2016 — 2015 San Francisco Investment Management Symposium, San Francisco, CA (December 9, 2015)
  • IDC's Fund Directors Conference 2015 — Chicago, IL (October 27, 2015)
  • Dechert Coffee Break – The SEC’s Broken Windows Policy – What Asian Managers Need to Know — Dechert LLP, Webinar (August 20, 2015)
  • The SEC's Investment Company Reporting Modernization Proposal: What You Need to Know — Dechert LLP, Webinar (July 28, 2015)
  • Conflicts of Interest: Strategies to Address this Examination and Enforcement Priority — IA Watch: the Full 360 Degree View West, (June 12, 2015)
  • SEC Investigations and Priorities Regarding Asset Managers — Securities Enforcement Forum West, (May 13, 2015)
  • Fund Investment Strategies Using Derivatives: Regulatory and Compliance Considerations — ICI Mutual Funds and Investment Management Conference, (March 16, 2015)
  • Cybersecurity and Annual Reviews - Issues and Developments — IAA Compliance Workshop, (December 2, 2014)
  • Mutual Fund Industry Developments — AIMA Seminar, (October 14, 2014)
  • Institutionalizing Risk Management: A View from the Regulators — HedgeWorld West Conference, (October 8, 2014)
  • U.S. and Global Regulatory Changes and Trends — AIMA Seminar (September 25, 2014)
  • Advertising and Marketing: Keeping Your Firm Compliant — IA Compliance Best Practices Summit West, (June 12, 2014)
  • Selected Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Cash Solicitors and Proxy Voting — NRS Investment Adviser Compliance Symposium, (June 11, 2014)
  • Portfolio Management: Regulatory Compliance Considerations — Southern California Compliance Group, (May 13, 2014)
  • Lessons from SAC Capital: Could It Happen to Your Firm? — CFA Institute Annual Conference, (May 5, 2014)
  • The Rise of Alternative Mutual Funds — West Coast '40 Acts Group Meeting, (April 25, 2014)
  • Broken Windows: A New Era in SEC Enforcement? — ICI Mutual Risk Management Conference, (April 10, 2014)
  • The Future of Shareholder Activism — UC Berkeley Center for Law, Business and the Economy Symposium, (April 4, 2014)
  • Current Issues in Private Fund Marketing — NSCP San Francisco Regional Meeting, (March 13, 2014)
  • Current Issues in SEC Examinations — IAA Investment Adviser Compliance Conference, (March 7, 2014)

 

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    • University of California, Berkeley, A.B., 1986, summa cum laude
    • University of Oxford, M.A., 1988, Newton-Tatum Scholar
    • Yale Law School, J.D., 1991, Executive Editor for the Yale Journal on Regulation, Olin Fellow in Law, Economics and Public Policy
    • California
    • District of Columbia
    • American Bar Association, Committee on Federal Regulation of Securities, Subcommittee on Investment Companies and Investment Advisers, Task Force on Investment Company Use of Derivatives and Leverage, and the Drafting Committee for Comment Letter on Money Market Fund Reform
    • Federal Bar Association
    • HFC, West Coast Committee
    • West Coast ’40 Acts Group