- Company:Fredrikson & Byron, P.A.
- Short Bio:Matt is an experienced investment management lawyer and business litigator and who regularly represents clients in regulatory proceedings by the SEC, FINRA and other regulators, and in complex business disputes. He has guided RIA clients through several recent SEC exams. Matt has over 25 years of experience litigating in federal, state and administrative forums around the country. He is head of Fredrikson & Byron’s Investment Management Group. Matt serves as outside general counsel to many RIA firms advising clients on a wide array of regulatory and compliance matters, including those arising under the Investment Advisers Act of 1940 (e.g., fiduciary duties, disclosure, custody, solicitation arrangements, client agreements, vendor agreements, cybersecurity, advertising, industry transitions, non-solicitation agreements, and more). Matt's clients include wealth management firms, investment adviser representatives, financial planners, broker-dealers, investment companies, insurance companies, public and private companies and individuals and firms, including those being examined, investigated or sued by the SEC, FINRA or other state and federal regulators.