Madelyn Calabrese

Practices

Education and Clerkships

J.D., New York Law School, 2002, cum laude

B.A., Economics and Philosophy, Politics and Law, Binghamton University, State University of New York, 1999

Admissions

New York, 2003

Profile

Madelyn Calabrese is a partner in the Private Equity and Investment Management Practice Groups in the New York office of Haynes and Boone. Madelyn provides advice to broker-dealers and registered and unregistered investment advisers on a broad range of formation, registration, regulatory, compliance and inspection/enforcement matters. She also regularly counsels clients on the formation and ongoing representation of domestic and offshore hedge and private equity funds.

Investment Managers. Madelyn counsels on the registration of advisers at federal and state levels and prepares all related documents, including, but not limited to, Form ADV, investment advisory contracts, policies and procedures, handles compliance issues, and conducts compliance control reviews, mock regulatory examinations, training sessions and compliance seminars. Madelyn represents investment managers in regulatory examinations and enforcement proceedings; counsels on various trading issues; advises on solicitation, advertising, marketing material and soft dollar issues; and reviews and drafts disclosures for marketing materials, websites and investor correspondence.

Broker-Dealers. Madelyn forms and licenses broker-dealers with the SEC, self-regulatory organizations and states. She represents broker-dealers in all aspects of SEC and self-regulatory organization compliance and regulatory inquiries, investigations, examinations and disciplinary/enforcement proceedings. Madelyn drafts and audits compliance manuals and policies and procedures, and conducts mock regulatory examinations, training sessions and compliance seminars. Madelyn also provides counsel on various trading, blue-sky and exchange-related issues. She advises on solicitation, advertising, marketing material and soft dollar issues, and reviews and drafts disclosures for marketing material, websites and customer correspondence. Further, Madelyn prepares and reviews solicitation, placement agent, soft-dollar, prime brokerage, consulting, employment and foreign broker agreements.

Professional Recognition

  • Recognized by BTI, BTI Consulting Group, as a Client Service All-Star, 2015
  • Recognized in New York Super Lawyers Rising Stars, Thomson Reuters, for Securities and Corporate Finance, 2013-2017

Honors

Super Lawyers

New York Super Lawyers Recognizes 16 From Haynes and Boone

Sixteen Haynes and Boone lawyers have been recognized as Super Lawyers and Rising Stars in New York’s 2017 Super Lawyers directory. The awards are based on peer recognition and professional achievements. Of those nominated, only five percent of the total lawyers in the state are selected for inclusion.


Published by Thomson Reuters in September 2017

Selected Publications and Speeches

  • "Books and Records: Steer Clear of Compliance Pitfalls," quoted in article, ACA Insight, August 18, 2014.
  • "What you Need to Know About Suitability and Working With Customers," National Society of Compliance Professionals New York Regional Conference, New York, New York, April 29, 2014.
  • "The Secondary Market for Hedge Fund Interests," New York Family Office - Private Fund Roundtable, June 12, 2013.
  • "Hedge Fund Marketing Materials and Investment Strategy Drafting," co-presenter, guest lecture for Hedge Funds II: Advanced Drafting class, New York Law School LLM Program, February 5, 2013.

Investment Management

Finance | Haynes and Boone, LLP

SEC Adopts Amendments to Form ADV and Investment Advisers Act Rules

On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted amendments (the “Amendments”) to Form ADV and the books and records rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”)....

Professional and Community Activities

  • Selected as a member of the Leadership Council on Legal Diversity (LCLD) Fellows Program, 2014-2015
  • National Society of Compliance Professionals
  • SIFMA Compliance and Legal Society
  • American Bar Association

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