Bio

Roger Joseph practice encompasses both publicly offered and private investment funds, and includes representation of funds, sponsors and independent directors. He is known for advising clients on the evolving federal regulatory environment for funds and managers, including under the Dodd-Frank Act and the Volcker Rule as well as federal securities laws. Roger has participated in many innovative developments in the investment management industry, including heading up the legal team that developed the master/feeder legal structure and shepherding the first funds using that structure through the US registration process. He also led the investment management team in the legal structuring of the first principal-protected, actively managed mutual funds. Roger has led many major projects, including restructurings of major fund complexes. He was co-leader of the legal team that reorganized more than 100 open and closed-end funds governed by eight separate boards, in connection with the acquisition of a large asset management organization by another large financial services firm. He also served as co-leader of the legal team that served as an Independent Compliance Consultant under applicable regulatory orders in reviewing a major mutual fund adviser’s compliance with federal and state securities laws. Roger is a frequent guest speaker at industry panels and is regularly quoted in industry publications and the business press. His clients include registered mutual funds and closed-end funds, investment advisers, and independent directors as well as sponsors of private equity funds, hedge funds, and offshore funds. Before joining Morgan Lewis, Roger was the co-chair of the global financial services practice of another international law firm and a member of its executive board.