Mark E. Ruddy is a securities and commodities attorney representing registered investment advisers, currency dealers, commodity futures registrants (including FCMs, CPOs, and CTAs), hedge funds, and other members of the financial community. His experience in the alternative investments industry spans almost twenty (20) years.
Prior to becoming a consultant and attorney in private practice, Mr. Ruddy worked for a Securities and Exchange Commission (“SEC”) registered investment adviser and operator of several private investment partnerships, where he completed financial reporting and handled compliance matters. He also has experience as a former compliance examiner with the National Futures Association (“NFA”).
Mr. Ruddy has performed expert witness work in derivatives and brokerage related cases in arbitration and court. He has been a contributing writer to industry related publications, seminar speaker in the industry, and law school lecturer in the field of derivatives and hedge funds. He currently teaches at the Catholic University of America Law School and also serves as a board member of the Alliance of Business Lawyers (the “ABL”), a global association of leading business law firms throughout the world. During his career, Mr. Ruddy has served on the Board of Directors of several private investment funds. He also served on the Managed Fund Association’s Emerging Manager Committee.
Mr. Ruddy has been quoted in several newspapers and publications, including: The Wall Street Journal, Reuters, and the New York Post.
- District of Columbia Bar
- New York State Bar
- United States Supreme Court
- J.D., Catholic University of America, Washington, D.C., 2000
- Professional Program in Business Accounting, New York University, New York, New York, 1996
- B.S. in Finance, Fairfield University, Fairfield, Connecticut, 1995
- Panelist, Operational and Regulatory Issues Facing Managers and How they Impact The Investment Decision, Emerging Manager Forum, Miami, December 2016
- Panelist, CFTC and NFA Cybersecurity Landscape, District of Columbia Bar, Washington, DC May 2016
- Moderator, Manager Operational Issues in 2016 and Their Impact on the Investment Decision, CTA Expo, New York, NY April 2016
- Moderator, Fraud and Confidentiality, Alliance of Business Lawyers Conference, Buenos Aires, Argentina, November 2015
- Moderator, Operational Structuring and Compliance and Their Importance in the Allocation Decision, CTA Expo, Chicago, IL September 2015
- Speaker, Raising your Defenses: Cyber-security for CTAs, CTA Intelligence, New York, NY May 2015
- Moderator, Cybersecurity: Where Regulation is Now & What to Expect, National Introducing Brokers Association, New York, NY April 2015
- Moderator, Emerging Managers and Emerging Manager Investors: Opportunities in Marketing and Investing in Mexico, CTA Expo, New York, NY April 2015
- Speaker, Inside ABL – Sharing Experiences, Alliance of Business Lawyers Conference Stockholm, Sweden April 2015
- Moderator, Regulatory Challenges for Investors and Managers in 2014, CTA Expo, New York, NY April 2014
- Moderator, Casting Your Net Wide: the Opportunities, and Challenges of Launching a Retail Fund, CTA Leaders Summit, White Plains, NY December 2013
- “Marketing of Commodity Trading Advisors”, National Introducing Brokers Association (“NIBA”) Journal, August 2013
- “CFTC Issues Interpretive Letter on Regulation 1.73”, NIBA Journal, June 2013
- Panelist, Inside ABL – Sharing Experiences, Alliance of Business Lawyers Conference, Mexico City, Mexico November 2013
- Panelist, Marketing under the Jobs Act, CTA Intelligence Breakfast, New York, NY October 2013
- Moderator, Due Diligence for IBs using CTA Programs, NIBA Conference, Chicago, IL September 2013
- Panelist, Compliance in a Regulatory Environment, Opal Emerging Managers Summit, Chicago, IL June 2012
- Speaker, Going Pro: Using Your Trading Success to Manage Money Professionally, The Traders Expo, Dallas, TX June 2012
- Panelist, Regulation and Exemptions for Managed Futures Professionals, Emerging Manager Forum, London, UK June 2012
- Member, American Bar Association
- Member, District of Columbia Bar
- Member, New York State Bar Association
- Treasurer, Stoddard Woods Homeowners Association