Registered Representative for Alps Distributor, Inc.

• Prepare and review regulatory SEC filings and ensure compliance with guidelines for both open-end and closed-end funds;• Assist attorneys with updates to compliance manuals with relevant legislation/litigation and SEC Releases;• Prepare Board materials and Board Books for Fund Board meetings;• Review and edit documents for attorneys or clients;• Research SEC, FINRA, and CFTC guidelines, disclosures and regulatory updates for attorneys;• Review document production in preparation for witness interviews;• Attend clients update meetings to maintain communication on filing and status of funds;• Prepare and review regulatory SEC filings and maintain compliance calendar.

Prepare pleadings, subpoenas, contracts, and other legal documents. Draft and review surveys, contractor estimates, and case files. Maintain dockets and files, both physically and electronically, for availability to attorney. Maintain communication between attorney and clients throughout the case process. Maintain Quickbooks and financial accounts to keep IOTA and Operating accounts accurate and up to date.