Kevin Stein
Senior Legal Counsel @BNP Paribas Asset Management
Signup · Get unlimited contacts
WORK HISTORY
Senior Legal Counsel @BNP Paribas Asset Management
New York, NY, US
Focus on the evolving derivatives market and the challenges relating to the implementation of regulations such as Dodd-Frank and EMIR. Draft and negotiate OTC clearing and exchange-traded derivatives documentation such as Futures Agreements, Cleared Derivatives Addendums, CDEAs and SEF Agreements as well as bilateral documentation such as ISDAs, MSFTAs, GMRAs/MRAs and Account Control Agreements. Assist in negotiating Investment Management Agreements and additional legal documentation such as side letters, confidentiality and non-disclosure agreements. Interact with the investment teams, Risk, Compliance and Operations to draft policies and procedures for counterparty risk and the global trading of portfolios while ensuring compliance with the rules and regulations of the SEC, CFTC/NFA and FINRA.
EDUCATION
University of Virginia School of Law
JD, Law
Duke University
BA, Political Science
SKILLS
ABOUT KEVIN STEIN
Attorney with extensive experience providing legal and compliance counsel to investment advisers, fund sponsors, issuers and underwriters in capital markets and investment management transactional and regulatory matters. Kevin focuses on the implementation of global derivative reforms under Dodd-Frank and EMIR as well as other US and EU regulations. Key areas of expertise include advising sponsors of hedge funds, separately managed accounts, mutual funds and UCITS in a wide array of securities transactions. Kevin has particular expertise in derivatives and specialty finance transactions such as advising publicly-traded alternative asset managers structure portfolios of derivatives, structured finance and other hedging instruments to mitigate credit and interest rate risk (IRS, CDS, FX, Swaptions, TBAs, TRS and CMBS). Most of the private funds he advises are structured pursuant to Sections 3(c)(1), 3(c)(7), 3(a)(1) and 3(c)(5)(C) of the Investment Company Act of 1940 and offered pursuant to private placement memorandum, investment management agreements, operating agreements and subscription agreements.Kevin has etensive experience counseling clients concerning corporate governance matters and federal and state regulatory compliance, including compliance with Commodities and Exchange Act, Dodd-Frank, EMIR, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities and Exchange Act of 1934, ERISA and the rules and regulations promulgated by the SEC, CFTC/NFA, FINRA, Federal Reserve and the DOL.
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.