Ben Douglas Email & Phone Number

San Francisco

Counseling asset management businesses -- http://rimonlaw.com/attorneys/benjamin-l.-douglas.

San Francisco Bay Area

Outside counsel for private investment management firms.

San Francisco, Ca

Senior legal officer at diversified investment management firm.

San Francisco, Ca

Legal counsel at $200 billion AUM investment management firm.

San Francisco, Ca

Oversaw all legal and compliance matters for an investment adviser managing over $21 billion in assets in various channels (mutual funds, institutional accounts, domestic and offshore private funds) and strategies (long and long/short equities, fixed income, international, and real estate).Counseled clients on all aspects of investment management regulation, including under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Sarbanes-Oxley, ERISA and USA PATRIOT Act.Served as primary legal and administrative point of contact for the firm's board of directors and the mutual funds' board of trustees. Responsible for the development of board agendas and management of meetings. Supervised internal and external counsel and compliance personnel responsible for the creation and maintenance of appropriate compliance, disclosure, and risk oversight programs. Had primary responsibility for legal aspects of relationships with all vendors and client-facing service providers.Negotiated resolution to enforcement investigations by SEC and state regulators. Obtained favorable modifications of subsequent SEC enforcement order.Represented employee-owned company in sale of a majority stake to current parent company (The Guardian Life Insurance Company of America). Negotiated sale agreement, LLC operating agreement, and all employment agreements. Coordinated legal and business strategy in close partnership with CEO and CFO, along with senior executives at parent company. Coordinated negotiation, due diligence and documentation for strategic acquisitions, including negotiation of asset purchase and employment agreements.Managed legal issues for all general business matters, including human resources, executive compensation, intellectual property, litigation, insurance coverage, and office leases.

San Francisco, Ca

San Francisco, Ca

Counseled internal clients regarding the legal aspects of the administration, portfolio management and marketing of mutual funds registered under the Investment Company Act.Advised clients regarding the development of new products and services, including separate accounts, hedge funds and offshore (Europe and Asia) funds.Negotiated and drafted contracts with service providers, including broker-dealers, custodians and securities lending agents.Prepared applications to the SEC for exemptive relief under the Investment Company Act and negotiated requested orders with the SEC staff.Managed legal analysts, junior attorneys and various outside law firms.

Counseled investment advisers, domestic and offshore private investment funds and affiliated broker-dealers regarding the Securities Act, Securities Exchange Act, Investment Company Act, Investment Advisers Act, ERISA and other federal and state statutes and regulations.Negotiated and drafted offering documents and contracts with investors and third-party financial service providers.Represented asset managers, investment funds and other clients in private mergers, acquisitions and venture investments. Advocated for clients with staff of the SEC, other government agencies and SROs.Prepared filings under the Investment Advisers Act, Securities Exchange Act and Securities Act.

J.D.

Activities and Societies: Member, California Law Review

M.P.P.

B.A., History

Education record