Daniel E. F. Email & Phone Number

Washington, Dc, Us

Washington, Dc, Us

Baltimore, Maryland, Us

Bethesda, Maryland, Us

Administered legal/regulatory compliance, including all Code of Ethics requirements and trainings, for Chevy Chase Trust and affiliate, ASB Capital Management LLC. Assessed firm(s) risk and developed, drafted, and implemented policies to align with Maryland banking laws, OCC guidelines, the Investment Advisers Act, and other federal and state laws. Monitored transactional activity and tested for compliance with firm procedures. Prepared counter-party contracts, brokerage agreements, and regulatory documents such as Form ADV, 13H, 13F, Maryland bank filings, etc. Coordinated Maryland bank examinations and custody exams with regulatory agencies and consultants. Managed aspects of corporate governance related to committee charters, meeting minutes, quorum tracking, and voting history. Coordinated and tracked proxy votes.

Washington, District Of Columbia, Us

Conducted complex investigations into potential cases of insider trading, FINRA rule violations and other federal securities law violations. Wrote memos and referrals to enforcement agencies such as the FBI, SEC, and State Attorney’s Offices. Managed communications with investment banks, exchange listed issuers, law firms, registered representatives, and financial regulatory agencies. Conducted on the record testimony and telephone interviews. Reviewed corporate documents, policies/procedures, and filings such as 10-k, 8-k, 13F, ADV filings, etc. Handled an active docket of approximately fourteen cases simultaneously.

Washington, Dc, Us

• Wrote and edited content regarding legal and regulatory updates, financial service industry news and compliance strategies for the monthly IAA newsletter that is distributed to members • Maintained IAA compliance materials for investment adviser clients• Researched issues relating to IAA member inquiries regarding legal, regulatory and compliance concerns• Wrote and edited content for comment letters that are sent to various government and non-government regulatory agencies detailing concerns for investment advisers

Washington, Dc, Us

• Drafted memorandums relating to ongoing and pending litigation between the Office of the Chief Financial Officer and other entities• Helped structure the District's continuing disclosure and periodic reporting policies for issuing municipal securities by examining other cities' disclosure laws and the MSRB's Rules for EMMA filings• Proposed initiatives for hospital Board of Director Committees to employ following a merger of two District hospitals

Washington, Dc, Us

Trading & Markets Division, Office of Market Supervision- synthesized information from industry comment letters- prepared a memo regarding guidelines for security-based swap data repositories

• Researched law and wrote legal memorandum for the judge regarding motions in limine, requests for punitive damages, and motions for partial summary judgment. • Drafted an opinion for a motion to compel testimony where a deponent was asserting his Fifth Amendment Privilege.• Discussed rulings with both the judge and the law clerk on a daily basis.

Salisbury, Maryland, Us

• Researched Writing Center pedagogy and methods of peer tutoring.• Helped students with issues relating to structure, grammar, ESL confusion, and all other matters related to writing • Documented all Writing Center sessions and issues covered in each session.

Salisbury, Maryland, Us

• Assisted editor in reviewing and fact-checking all publications to be distributed to off-campus audiences, reviewed major publications, and provided writing and editing services to the campus community.• Wrote content for various University publications.

Juris Doctor (J.D.), Banking, Corporate, Finance, And Securities Law

Bachelor Of Arts (B.A.), English, Rhetoric And Composition

Education record