Fred M. Santo

Fred M. Santo represents sponsors and investment managers of domestic and international hedge funds, commodity pools and other public and private pooled investment vehicle, as well as investment managers, family offices, brokers, investment professionals, financial intermediaries and other financial institutions. He provides counsel on Securities Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) regulations, the Investment Company Act, the Investment Advisers Act, the Employee Retirement Income Security Act (ERISA), broker-dealer regulation and taxes. In addition, he has extensive experience with commodity pool operator (CPO) and commodity trading advisor (CTA) registration and compliance requirements and detailed knowledge of financial legislation including the Dodd-Frank Act.

Fred has been described as being “as good as they come” (Legal 500). He is a frequent lecturer and author on topics of interest to the financial services industry, including securities and futures regulations affecting domestic and offshore private investment vehicles.

Fred previously served as national co-head of Katten's Financial Services practice. Prior to joining the firm, he was a senior attorney in the SEC’s Division of Corporate Finance and assistant general counsel to the CFTC. He began his career as a law clerk to the chief judge of the District of Columbia Court of Appeals.

Good to know

Areas of Practice 1) Corporate Governance, 2) Corporate, 3) Entrepreneurial Ventures, 4) Futures and Derivatives, 5) Private Funds and Investment Management, 6) Broker-Dealers, 7) Financial Services Regulatory and Compliance and 8) Financial Services Litigation
Law School Georgetown University Law Center (LL.M.); American University, Washington College of Law (J.D.)
Education Binghamton University, State University of New York (B.A.)
Bar Member / Association District of Columbia Bar Association, New York State Bar Association
Most recent firm Katten Muchin Rosenman LLP
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