Nationally recognized for his work with investment advisers and funds, Steven Howard has more than three decades of experience navigating corporate clients through all aspects of their national and international businesses.
A formidable financial services industry authority, he advises on fund formation, risk management, fiduciary issues, conflicts of interest, litigations, public disclosures in registration statements, compliance issues and contract disputes. Steve represents investment advisers, broker-dealers, hedge funds, venture capital funds, commodities funds, mutual funds, banks, insurance companies and their Boards of Directors. He has advised three major mutual funds with their market timing, late day trading and directed brokerage litigations. Steve has organized and represented the world's largest infrastructure funds for AIG in China, India, South America, Eastern Europe and Africa. Steve registered with the SEC one of the world's largest investment advisers resulting from Morgan Stanley's acquisition of Smith Barney. Steve has defended clients in SEC audits and enforcement proceedings and represented a NYSE listed closed-end fund in its successful defense in a hostile proxy takeover attempt. Steve has also advised on the first SEC registered mutual fund that does not charge an advisory fee.
Steve has had the distinct privilege to work directly with Nelson Mandela, Lee Kwan Yew, Founder and Prime Minister of Singapore, Hank Greenberg, Chairman of AIG, Moeen Qureshi, Interim Prime Minister of Pakistan and William L. Richter, Co-Founder of Cerberus Capital.
Steve co-authored a 550 page book, "Investment Adviser Regulation in a Nutshell," published by Thomson West that analyzes all aspects of the Investment Advisers Act of 1940. Steve is also an expert on all aspects of the Investment Company Act of 1940, including the exemptions from SEC registration as an investment company for private investment ventures and structured finance products, such as ABS, MBS, and CDOs.
Steve has extensive knowledge about the use of information technology in investment management, including blockchain and distributed ledger technologies, roboadvisers, digital infrastructure, FinTech investments and cybersecurity.
Steve taught investment management regulation as an Adjunct Professor at New York Law School.
Steve is also an art law expert and frequently advises art foundations, art owners and art financiers.