Matthew B. Millman provides skilled and passionate representation to financial services firms and their associated investment professionals in a wide range of legal, regulatory compliance, and operational matters. His diverse background as a chief compliance officer, general counsel, and litigator affords him a unique insight into the complexities and day-to-day practical concerns faced by professional financial advisers of many different types and structures, including retail investment advisors, commodity trading advisors, and private fund managers across traditional and non-traditional asset classes.
Prior to joining Carr Butterfield, LLP, Mr. Millman served as the General Counsel and Chief Compliance Officer at SandPointe Asset Management, LLC, an NFA registered commodity pool operator / commodity trading advisor and SEC registered investment advisor. In this capacity, Mr. Millman developed and managed a robust compliance program and served as the firm’s chief legal officer, handling the launch of the firm’s privately offered commodity pools and all corporate transactional and regulatory matters related thereto. Mr. Millman has also served as a senior compliance consultant with NCS Regulatory Compliance (now a part of Foreside Financial Group), a national provider of outsourced compliance solutions, where he served as a trusted advisor to in excess of fifty state and/or SEC registered investment advisors across a broad range of compliance matters. He has also held the position of corporation counsel with a firm specializing in hedge fund formation and administration services, gaining valuable experience and understanding of the launch of private investment vehicles and the nuts and bolts of their back and middle office operations.
Mr. Millman is experienced in representing investment management clients before numerous state and federal regulatory agencies and self-regulatory organizations, including, but not limited to the following:
- U.S. Securities and Exchange Commission (SEC)
- U.S. Commodity Futures Trading Commission (CFTC)
- National Futures Association (NFA)
- Numerous state securities and business regulatory agencies including the Florida Office of Financial Regulation, Washington Department of Financial Institutions, and many others.
From November 2007 through May 2011, Mr. Millman was a practicing litigation attorney in New York City, where he defended family law matters and commercial business disputes in the New York State courts. His additional practice areas include mergers and acquisitions, hedge fund operations, audit support, corporate governance and corporate transactions matters.
Syracuse University College of Law (J.D., 2007)
Syracuse University Martin J. Whitman School of Management (B.S., Finance, 2004)
New Jersey, 2007
New York, 2008
PROFESSIONAL ACTIVITIES AND COMMUNITY SERVICE EXPERIENCE
Florida Bar, Young Lawyers Section, Member
INSIGHTS AND PROFESSIONAL PRESENTATIONS
- Pershing LLC Webinar, FinCen’s Proposed Anti-Money Laundering Rules for RIAs (September 24,2015)
- TD Ameritrade Regional RIA Seminar, Regulatory Guidance & Expectations -Key Takeaways (November 10, 2015 [Pittsburgh, PA] and November 12, 2015 [Jersey City, NJ])