Michael S. Caccese

Mr. Caccese is one of three Practice Area Leaders of K&L Gates’ Financial Services practice, which includes the firm’s Investment Management and Broker Dealer practice groups, and sits on the firm’s Management Committee. K&L Gates maintains one of the most prominent financial services practices in the United States – with more than 150 lawyers practicing from Asia, Europe and the United States, representing diversified financial services institutions and their affiliated service providers. Mr. Caccese focuses his practice in the areas of investment management, including mutual funds, closed-end funds, registered fund of hedge funds, hedge funds and separately managed accounts, in addition to advising on investment management and broker-dealer regulatory compliance. Mr. Caccese also advises on structuring investment management professional team “lift-outs” and “placement”, “soft dollar” compliance, investment performance, the Global Investment Performance Standards (“GIPS”), and the CFA Soft Dollar Standards and the Trade Management (Best Execution) Guidelines, along with other investment management industry standards of practice. His focus is on serving the needs of investment advisory firms of all sizes, including helping them design and comply with the investment industry’s “best practices” and policies, under GIPS, AIMR-PPS and Soft Dollar Standards.

Mr. Caccese has held various licenses over his career including Series 7, 14, 24, and 63, and has served as a compliance officer for NYSE and NASD broker-dealers. In addition, he has provided regulatory compliance advice for SEC registered investment advisors and CFTC registered commodity-trading advisors.

Mr. Caccese has been recognized by various legal directories such as Best Lawyers, Chambers, Intercontinental Finance Magazine Leading Lawyers, Legal 500 and The International Who's Who of Private Funds Lawyers as a leading practitioner in the investment management/broker-dealer area. He also recently received, for the second time in three years, the BTI Client Service All-Star Award from BTI Consulting Group, Inc., one of the country’s most independent and respected business research companies. BTI compiled its Client Service All-Star list based on interviews with more than 200 corporate counsel at large and Fortune 1000 companies. During these interviews, BTI asked corporate counsel to name individual attorneys who they believe truly deliver client service better than all others.