Patrick D. Hayes
Patrick Hayes counsels registered investment advisers, broker-dealers, family offices, and other financial professionals on managing and directing the effective integration of the Securities Act, Exchange Act, Investment Company Act and Advisers Act into his clients' compliance programs.
Patrick serves as Leader of the firm’s Investment Management practice and represents and supports advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. His clients include wealth management firms, private equity advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptotraders, FinTech and Robo-advisers, mutual fund trusts, and institutional equity and fixed income asset managers.
As a member of the Corporate and Finance group, Patrick also serves as outside general counsel to draft, coordinate and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings and other related materials.
Patrick conducts due diligence and monitors activities of sub-advisers, third-party managers and relevant service providers, and will assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general and local authorities.
In 2020, Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick designed the podcast as a personal master class for the securities industry’s legal and compliance professionals.
Patrick serves on the board of directors for the National Society of Compliance Professionals and a member of the Regulatory Advisory and Publications Committees. He carries both Series 7 and Series 24 securities licenses, and is licensed to practice law in the state of Ohio and the Commonwealth of Kentucky.
Prior to joining Calfee, Patrick served as Investment Management Counsel and Chief Compliance Officer at Graydon Compliance Solutions, LLC and Private Funds and Regulatory Compliance Officer at Fort Washington Investment Advisors, Inc.
Patrick earned his J.D. from the University of Cincinnati College of Law, where he was inducted into the Order of the Barristers for outstanding ability in appellate advocacy. He is also a recent recipient of the Cincinnati Business Courier's Forty Under 40 Award recognizing young professionals in Greater Cincinnati who are crafting successful careers while also giving back to their community.
He joined Calfee in 2019.
Cincy Magazine, "Cincy Leading Lawyers"
Corporate and Securities Law (2020-2021)
Forty Under 40 Honoree
Cincinnati Business Courier (2019)
Best Lawyers in America
Securities / Capital Markets Law (2022)
Cincinnati, Ohio 45202-4728
