CLEVELAND, October 30, 2019 - Calfee, Halter & Griswold LLP is pleased to announce Patrick D. Hayes has joined the firm as Senior Counsel in its Corporate and Capital Markets group.
Patrick provides legal counsel to registered investment advisers and other financial professionals on managing and directing the effective integration of the Securities Act, Exchange Act, Investment Company Act, and Advisers Act into his clients' compliance programs.
He represents and counsels advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. His clients include institutional equity and fixed income asset managers, wealth management firms, ERISA investment fiduciaries, mutual fund trusts, and private fund advisers.
As part of the Corporate and Capital Markets group, Patrick also serves as outside general counsel to draft, coordinate, and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings, and other related materials.
Patrick conducts due diligence and monitors activities of sub-advisers, third-party managers and service providers, reviews relevant marketing and advertising materials, and represents clients with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general, and local authorities. He is licensed to practice law in Ohio and Kentucky and carries both Series 7 and Series 24 securities licenses.
Prior to joining Calfee, Patrick served as Investment Management Counsel and Chief Compliance Officer at Graydon Compliance Solutions, LLC. He also served as Private Funds and Regulatory Compliance Officer at Fort Washington Investment Advisors, Inc.
“Patrick’s experience enhances our ability to service the regulatory and compliance needs of our clients – from private equity firms to independent registered investment advisers and broker dealers – on a firmwide basis and bolsters our corporate and capital markets practice in Cincinnati,” said Tom Welsh, Co-Chair of Calfee’s Corporate and Capital Markets group.
John Mongelluzzo, Partner-in-Charge of Calfee's Cincinnati office added, “The addition of Patrick to our already strong office allows us to offer our current and prospective clients a broader range of sophisticated and coordinated legal services."
Patrick was recently inducted to the Board of Directors for the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. In addition to serving on its board, Patrick also co-chairs the NSCP Publications Committee responsible for coordinating the organization’s monthly compliance publication, Currents.
Patrick earned his J.D. from the University of Cincinnati College of Law, where he was inducted into the Order of the Barristers for outstanding ability in appellate advocacy. He is also a recent recipient of the Cincinnati Business Courier Forty Under 40 Award, which recognizes young professionals in Greater Cincinnati who are crafting successful careers while also giving back to their community.
About Calfee’s Corporate and Capital Markets Practice Group
With over 35 dedicated attorneys, Calfee’s Corporate and Capital Markets practice is one of the largest and most prolific in Ohio, handling a significant number of complex and sophisticated transactions for clients around the country and globally. Calfee boasts a robust Merger and Acquisitions, Divestitures and Sales practice led by an active private equity client base and a large roster of public and significant privately held corporate clients. These financial and strategic buyers, coupled with our deep investment banking representations and relationships, drive a thriving and diverse M&A practice at Calfee.
About Calfee, Halter & Griswold LLP
Calfee, Halter & Griswold LLP is a full-service corporate law firm serving business, governmental and individual clients in the U.S. and globally. As a founding member of Lex Mundi, Calfee offers international representation through a network of independent law firms with access to 21,000 attorneys located in more than 100 countries.
Susan M. Kurz
Chief Marketing & Client Development Officer