Morgan Lewis

Related Publications

03/04/15 New Guidance from the SEC on Gifts to Adviser Personnel
SEC Staff from the Division of Investment Management has issued guidance on receipt of gifts by investment adviser personnel who manage registered funds.
03/10/10 Prospectus Liability, presented at an Independent Directors Council Teleconference
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Photo of  Christopher D. Menconi

practice accolades

Investment Management

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2015)

Ranked: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2014)

Ranked: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2014)

Ranked: Investment Funds: Registered Funds in Chambers USA (2014)

honors + affiliations

Member, American Bar Association, Business Law Section

Lead Articles Editor, The Journal of Contemporary Health Law and Policy

Listed, Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)

bar admissions

  • District of Columbia
  • New York
  • New Jersey
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Christopher D. Menconi
Partner


Email: cmenconi@morganlewis.com
Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
United States
Phone: +1.202.373.6173
Fax: +1.202.373.6001

Christopher Menconi focuses his practice on the regulation of investment companies and investment advisers and related issues affecting broker-dealers and transfer agents. He also advises insurance companies on regulatory matters relating to variable insurance products.

Chris counsels clients on a variety of regulatory and transactional matters, including the development of new products and services, federal and state registration and compliance issues, mergers and acquisitions involving investment companies and investment advisers, interpretive and “no-action” letter requests, Securities and Exchange Commission exemptive orders, and related matters. Additionally, he serves as counsel to boards of directors of mutual funds.

Prior to joining Morgan Lewis, Chris was a partner in the financial services practice of another international law firm. A frequent speaker at industry conferences, he has authored several articles on securities regulatory issues. Chris has also served as an adjunct professor of law at the Catholic University of America Columbus School of Law, where he taught on investment management regulation.

education

  • Catholic University of America, Columbus School of Law, 1994, J.D.
  • Catholic University of America, 1990, B.A.

Additional Information

  • Attracting Assets Via New Product Development, Cohen Fund Audit Services 2014 Client Conference, Milwaukee (August 2014)
  • Impact of the U.S. Supreme Court Decision in Jones v. Harris Associates, Webinar hosted by SEI Knowledge Partnership (April 2010)
  • Prospectus Liability, Hosted by Independent Directors Council, Nationwide conference call (March 2010)
  • Mastering the Investment Advisers Act: Sections 206 – 222, hosted by National Regulatory Services and the Investment Adviser Association, New York (March 2008)
  • Understanding the Securities Products of Insurance Companies, hosted by Practising Law Institute — “Regulation of Variable Insurance Products under the Federal Securities Laws,” New York (January 2008)
  • NRS Center for Compliance Professionals – Investment Adviser Compliance Training, hosted by National Regulatory Services — “Overview of the Investment Company Act of 1940,” New York (2007) and Miami, Fla. (2006)
  • Best Practices for Conducting the Required Annual Compliance Review for Investment Advisers, hosted by Financial Research Associates, New York (December 2005)
  • Recent Developments in the Calculation of Performance for Investment Advisers, hosted by the Performance Measurement Forum — “Investment Adviser Advertising: The Rules and the Pitfalls,” Las Vegas (April 2005)
  • The SEC’s New Investment Adviser Code of Ethics Rule — Webcast hosted by Schwab Institutional Investment Adviser (December 2004) 
  • Hot Topics and Emerging Issues in Insurance, Benefits and Financial Services, hosted by the ABA Tort, Trial & Insurance Practice Section (30th Annual CLE Meeting) — “An Industry in Crisis Prepares for Reform:  The Late Trading and Market Timing Scandal,” Orlando, Fla. (January 2004) 
  • Regulatory Affairs Conference, hosted by the National Association for Variable Annuities — “Implications of Insurance Company Reorganizations under the Investment Company Act of 1940,” Washington, D.C. (June 2003)  
  • Legislative, Regulatory & Compliance Symposium, hosted by the Bank Insurance & Securities Association — “An Analysis of the SEC Staff’s Position on the ‘Retail Exception’ to Section 11 of the Investment Company Act of 1940,” Washington, D.C. (June 2001)