Nicole Simon assists in the representation of clients in the asset management industry, including commodity pool operators (CPOs), commodity trading advisors (CTAs), private funds, registered investment companies and investment advisers. She frequently counsels on the applicability and interpretation of federal securities and commodities laws. Her experience includes representing:

CPOs and CTAs: Nicole works with exempt and registered CPOs and CTAs with respect to registration, disclosure, and compliance issues. She regularly provides advice regarding the potential availability of exemptions or other relief from various requirements, and drafts no-action requests on behalf of clients. Nicole drafts and revises CPO and CTA compliance policies and procedures, and provides support during routine NFA examinations. Nicole also actively participates in key CFTC rulemakings affecting clients (e.g., cross-border regulation).
Private Funds: Nicole assists with the formation of domestic and offshore private funds, which includes drafting private placement memoranda, operating agreements and subscription documents.