Morgan Lewis

Related Publications

02/10/12 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds
Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.
02/10/12 Part II: Proposal to Harmonize CFTC and SEC Requirements for Registered Investment Companies as Commodity Pools
CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.
September 2011 Electronic Delivery of Form ADV, IAA Newsletter: Compliance Corner
(pdf)
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practice areas

practice accolades

Investment Management

Ranked, Band 1: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2011)

Ranked, Band 1: Investment Funds: Registered Funds in Chambers USA (2011)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2010)

bar admissions

  • New York
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F. Mindy Lo
Associate

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Email: mindy.lo@morganlewis.com
New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6693
Fax: 212.309.6001

F. Mindy Lo is an associate in Morgan Lewis's Investment Management Practice. Ms. Lo's practice focuses on broker-dealer and investment manager regulation.

Prior to joining Morgan Lewis, Ms. Lo was an associate at a leading national law firm in New York.

Ms. Lo earned her J.D. from the University of Michigan Law School in 2008, where she was an editor for the Michigan Journal of Gender & Law. She earned her B.A., with general honors, in economics and international relations from Johns Hopkins University in 2004. Ms. Lo is fluent in Cantonese and Mandarin.

Ms. Lo is admitted to practice in New York.

education

  • University of Michigan Law School, 2008, J.D.
  • Johns Hopkins University, 2004, B.A.