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Michael W. McGrath

Partner
+1.617.951.9123
Fax +1.617.261.3175

Michael McGrath is a partner in the firm’s Boston office. He practices in the areas of investment management, securities, and commodities law, including the representation of institutional investment firms, registered investment companies, private equity and hedge funds, and emerging financial technology firms. 

Mr. McGrath counsels financial institutions regarding SEC, CFTC, NFA, and FINRA regulation. His practice is focused on helping financial institutions design their compliance programs, supporting trading and investment management issues including best execution, soft dollars, control of nonpublic information, and derivatives trading, and assisting with SEC and NFA staff examinations.

Mr. McGrath also has extensive experience counseling clients on regulatory matters that relate to strategic business decisions, including:

  • transactional, regulatory, and operational issues arising from mergers and reorganizations of investment funds and their investment advisers;
  • optimal corporate and operational structures related to affiliated investment managers, cross-border operations, and joint ventures;
  • the development of novel alternative investment strategies and the offering of such strategies through various types of investment vehicles; and
  • emerging regulatory issues related to crowdfunding, social media, cybersecurity, and financial technology.

Mr. McGrath is a CFA charterholder.

Professional Background

Prior to joining K&L Gates in 2011, Mr. McGrath was a Vice President and Senior Counsel with Allianz Global Investors, where he provided counsel in several different areas including: compliance with regulatory requirements, mergers and reorganizations of business units, the formation and offering of private funds and mutual funds, and the negotiation of investment management agreements, side letters, trading agreements, and derivatives documentation.

Professional/Civic Activities

  • Boston Securities Analysts Society
  • CFA Institute

Speaking Engagements

Mr. McGrath speaks frequently on legal issues facing investment advisers and alternative fund managers. His recent and upcoming presentations include:

  • K&L Gates and ACA Performance Services Webcast, “The SEC’s Focus on Investment Performance,” November 15, 2016
  • K&L Gates and ACA Compliance Group Workshop, “Compliance Workshop for Broker-Dealers and Investment Advisers,” Boston, MA, June 21, 2016
  • Investment Adviser Association Compliance Conference, “Leveraging Technology in Compliance,” Washington, DC, March 10-11, 2015
  • Financial Research Associates, Innovations in Measuring Performance, Attribution & Risk Conference, “Regulatory Update: Performance Measurement in the Age of Increased Oversight,” New York, NY, February 22-23, 2016
  • K&L Gates 2015 Investment Management Conference, Boston, MA, November 8, 2015
  • Investment Adviser Association 2015 Compliance Workshop, New York, NY, October 15, 2015
  • K&L Gates Webinar, “How Social Media Has Impacted Broker-Dealers and Investment Advisers,” October 7, 2015
  • National Regulatory Services Cybersecurity, Technology and Marketing Compliance Forum, “Evaluating Advertising,” September 16-17, 2015
  • National Regulatory Services Investment Adviser Symposium, “Investment Adviser Regulatory and Compliance Update,” Boston, MA, August 12, 2015
  • National Regulatory Services Investment Advisor and Broker-Dealer Compliance Conference, “Trading and Best Execution,” Fort Lauderdale, FL, May 5-7, 2015
  • K&L Gates Webinar, “Best Practices and Trends for M&A in the Fund Industry in 2015,” April 16, 2015
  • Investment Adviser Association Compliance Conference, “Automated Compliance Issues,” Washington, DC, March 5-6, 2015
  • K&L Gates 2014 Investment Management Conference, Boston, MA, December 9, 2015
  • National Regulatory Services Investment Adviser & Broker-Dealer Compliance Conference, “Mergers, Expansion, and Buying Other Practices,” Phoenix, AZ, October 28-30, 2014
  • State Street Chief Compliance Officer Forum, Boston, MA, October 15, 2014
  • K&L Gates Seminar, “Latest Hedge Fund Developments and Practical Compliance Advice,” Chicago, IL (September 9, 2014), New York, NY (September 16, 2014), Boston, MA (September 30, 2014)
  • National Regulatory Services Investment Adviser Symposium, “Ethical Decision-Making,” Chicago, IL, July 22, 2014
  • National Regulatory Services Webinar, “Safely Embracing the Power of Social Media,” June 19, 2014
  • K&L Gates and ACA Compliance Group Webinar, “Mutual Fund Distributor Compliance Officer Roundtable,” April 30, 2014
  • K&L Gates 2013 Investment Management Conference, Boston, MA, December 11, 2013
  • National Regulatory Services Investment Adviser & Broker-Dealer Compliance Conference, “Day in the life of a Compliance Officer: Seven skills for success now and in the future,” and “Annual Review and Testing Techniques,” Las Vegas, NV, October 9-11, 2013
  • National Regulatory Services Webinar, “Investment Adviser Performance and Advertising,” September 19, 2013
  • K&L Gates and ACA Compliance Seminar, “GIPS Standards Open Forum,” Boston, MA, September 18, 2013
  • National Regulatory Services Investment Adviser Symposium, “Compliance Program Rules and Strategies for Managing Your Annual Reviews,” Chicago, IL, July 24, 2013
  • National Regulatory Services Webinar, “Safely Embracing the Power of Social Media,” June 18, 2013
  • National Regulatory Services Investment Adviser Symposium, “Investment Adviser Performance Advertising,” New York, NY, June 11, 2013
  • K&L Gates Seminar, “Social Media’s Impact on the Fund Industry,” February 27, 2013
  • K&L Gates 2012 Investment Management Conference, Boston, MA, November 2, 2012
  • K&L Gates Webinar, “The Nuts and Bolts of Form PF,” October 23, 2012
  • K&L Gates and ACA Compliance Seminar, “GIPS Standards Open Forum,” Boston, MA, September 19, 2012
  • National Regulatory Services Webinar, “Investment Adviser Performance and Advertising,” September 13, 2012
  • National Regulatory Services Webinar, “Safely Embracing the Power of Social Media,” June 26, 2012
  • National Regulatory Services Investment Adviser Symposium, “Compliance Program Rules and Strategies for Managing Investment Adviser Annual Review,” Boston, MA, June 13, 2012
  • K&L Gates 2011 Investment Management Conference, Boston, MA, November 3, 2011