Peter Shea

Peter J. Shea is a partner in Katten’s Financial Services practice. His clients range from NYSE-listed exchange traded funds to small private businesses as well as registered investment companies, hedge funds, investment advisors, broker-dealers and other financial institutions. Peter has served as counsel in the following types of matters:

• Formation, registration and compliance for exchange traded funds, mutual funds, closed-end funds and business   development companies;
• Creation and operations of hedge funds, distressed asset funds and other private investment vehicles;
• Formation, registration and ongoing compliance requirements of broker-dealers and investment advisers;
• Counsel to independent directors;
• Obtaining SEC no-action and other exemptive relief;
• Formation and financing of start-up companies;
• Public and private equity and debt offerings, including initial public offerings, and public debt and equity exchanges; and
• Ongoing regulatory compliance, SEC reporting and proxy solicitation requirements for public entities.
Peter has extensive experience as company counsel and fund counsel and has represented businesses in all phases of their development. Peter is a former SEC Division of Enforcement Staff Attorney and a member of the ABA<
Business Law Section (Committee on Federal Regulation of Securities) and the Association of Securities and Exchange Commission Alumni. Memberships
• American Bar Association, Business Law Section, Committee on Federal Regulation of Securities
• Association of Securities and Exchange Commission Alumni
• Association of the Bar of the City of New York