Joseph M. Mannon

Joseph Mannon counsels investment advisers, funds and family offices, bridging the gap between regulation and operations.

He delivers clear, actionable guidance to help clients form funds, launch new products and achieve their business goals while managing regulatory risk, ensuring compliance and navigating regulatory scrutiny in the U.S. and abroad.

Joe offers strategic guidance across fund operations, compliance and oversight, advises on commodity regulation, SEC, CFTC, GIPS and marketing/advertising rules and issues affecting both registered and unregistered funds and products. He helps clients design and launch private and registered funds, negotiates trading and derivatives agreements, and develops compliance programs and governance practices. He also helps clients prepare for and respond to regulatory investigations, always ensuring his advice aligns with their business goals.

Serving clients ranging from global asset managers to boutique investment firms, private funds, commodity trading advisers, commodity pool operators, alternative investment entities and family offices, Joe possesses broad experience across the investment industry.

Joe was an SEC enforcement attorney and associate general counsel for one of the world’s largest hedge fund-of-funds advisers before returning to private practice. Experienced on both the regulator’s and business sides of the industry, he understands regulatory expectations, internal business pressures, and how compliance decisions play out in practice. This enables him to anticipate potential problems, de-escalate issues and craft legally sound and commercially workable solutions to avoid costly disputes.