Bendukai Bouey Email & Phone Number

New York, Ny, Us

Santa Monica, Ca, Us

CCO for global and multi-faceted asset manager with a large pension consulting practice; private equity advisory and fund of funds; hedge fund of funds/risk premia platform; financial intermediary advisory practice; and Mutual Fund/Variable Insurance Trust complex. In depth knowledge of financial industry regulations (‘40s Investment Company and Advisers Act; ‘33 Securities Act & ‘34 Securities Exchange Act; FINRA rules, ERISA; AIFMD, ISDA Protocols; etc.) • Manage an independent and objective team to evaluate risk and implement compliance program • Develop policies and procedures for effective global compliance program • Work with COO to develop and implement standard operational policies and procedures and systems to mitigate and manage risk, better serve clients best interest, conform to market practices and assure conformity with relevant rules and regulations • Manage relationships with appropriate regulators and effectively guide Wilshire through regulatory engagements (three (3) SEC exams and one (1) NFA exam during tenure) • Implement compliance systems (Schwab Compliance Technologies, Cornerstone Learning Management System, Dasseti vendor DD, proprietary databases) to more efficiently and effectively manage compliance. • Internal reporting (i.e. annual compliance review, Commodity Pool Operator self-exam) and external regulatory filings (form ADV, form PF, NFA quarterly and annual disclosures, ISDA protocols, etc.) • Manage compliance for Wilshire’s hedge fund platform and private equity fund of funds, including, marketing and distribution, AML/KYC, etc.• Perform due diligence on sub-advisors and service providers to assure their compliance with relevant regulations and fund policies and procedures• Assist in the development and launching of various investment products (private and public).CCO for Wilshire’s mutual fund and variable insurance trust. Report to the board and the trustees in the implementation of the funds 38a-1 compliance program.

General corporate legal services, specializing in financial services. Private equity and hedge fund offerings; Business Development Company public offering; blue sky filings, state and federal filings for registered investment advisers and FINRA filings for broker dealers. Engaged regularly with the SEC and FINRA.

Sales and investor relations to both institutional and high net worth individuals for Horizon Asset Management, a multi-billion dollar investment manager.

Los Angeles, Ca, Us

General Counsel & Chief Compliance Officer GC to private equity firm and CCO for captured broker dealer through which we distributed funds. Fund formation, fund distribution and limited partnership negotiations, deal sourcing, structuring and managing. Developed novel parallel fund and co- investment structures to facilitate distribution of funds to retail investors through RIAs and the independent broker dealer channel. Developed, implemented and monitored the compliance policies and procedures for the firm’s captured broker dealer and led the private equity group through transition to register as investment advisory firm in compliance with Dodd Frank Regulatory Reform Act.Director, Private Capital Managed investor relationships for Triton Pacific. Developed and maintained relationships with RIAs, independent broker dealers, high net worth investors, institutional investors, wealth managers and financial advisors. Developed independent broker dealer distribution network. Transformed the capital base from club deal participation to pooled investors. Increased assets under management by 4X. Grew investor base from 100 to over 600. Implemented investor relations software (salesforce.com) and fund admin system (Relevant Equity Works).

Performed research, analysis, due diligence and marketing in association with private equity transactions. Worked with managing partner in effort to incubate mySweetpea (wrote business plan, assembled management team, prepared technical specs for this novel high tech in-house venture) and seek secondary financing.

Manhattan, Nyc, Us

General Corporate practice specializing in ‘33 Securities Act and ‘34 Exchange Act, M&A and World Bank/EBRD prOject financings. Prepared offering circulars, closing documents and government filings (S-1, 10K, 10Q, 8K, 20F) for global public and private companies.

Jd, Law

Ba, Economics