David Guy Email & Phone Number

- Twenty year’s financial service industry compliance, operations, and business process experience;- Comprehensive understanding of securities laws applicable to registered investment advisers andinvestment companies, including the Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Company Act”);- Experienced multiple SEC Exams working for registrants, and in a consulting capacity;- Experience with multiple asset classes, including equity, bonds, cryptocurrency and alternatives (hedge funds and private equity); and structures, including ‘40 Act Funds, 3(c)(1) and 3(c)(7) private funds, and 3(c)(11) trusts;- Expertise includes: (i) developing and implementing compliance program policies, procedures andinternal controls; (ii) testing compliance programs, including mock SEC examinations, and assessing investment advisers’ compliance with the Adviser Act Rule 206(4)-7 and investment companies’ compliance with the Company Act Rule 38a-1; (iii) developing and maintaining risk registers; (iv) performing sub-adviser due diligence on traditional asset manager as well as alternative managers (hedge funds and private equity firms); and (v) BSA/AML program development.- Experience working on regulatory matters relating to bitcoin and cryptocurrencies, as well as regulatory matters with portfolio companies in the crypto space.- Recipient of a M.B.A., specializing in Investments and International Business.