Della Richardson Email & Phone Number

Partner with the founder of beauty start-up Own Your Wonder to drive solutions for a wide range of legal and business objectives. Primary responsibility for all legal issues related to raising capital, including all communications for prospective investor meetings with venture capital and private equity funds, and UHNWIs. Advise on legal aspects of employment and other human resources matters, draft training manuals and other employee policies and procedures. Ensure compliance with applicable insurance, licensing and other legal obligations.

San Francisco, California, Us

Offerings of PE Funds: Reviewed private equity fund offering documents, including marketing materials, for compliance with the Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA rules. • Oversaw or handled the completion of various fundraising due diligence material. • Managed external counsel regarding the negotiation of side letter provisions with limited partners. • Negotiated third-party placement agent agreements for HNWI distribution channels and international marketing. • Prepared internal stakeholders for external speaking events to manage regulatory risk for fundraising efforts and reputational risk to the firm.Investment Advisers: Advised on regulatory matters for TPG-affiliated SEC-registered investment advisers. Developed and implemented the first policy for investor communications and the document review protocol. Reviewed various limited partner presentations for investor conferences, webinars and investor meetings. Reviewed and advised on quarterly and annual investor letters. Oversaw annual and periodic filings, such as, Form ADV.Broker-Dealer: Reviewed and advised on new offering documents including private placement memorandums, limited partnership agreements, subscription documents and presentation materials. Managed all regulatory and compliance matters for TPG Capital BD, LLC to ensure compliance with applicable U.S. and state securities laws. • Managed external counsel regarding annual filings in Canadian provinces. • Prepared periodic and annual compliance reviews and participated in the reporting of the results of such reviews, as appropriate, to the chief compliance officer and executive team. • Prepared updates of written supervisory procedures, the Sanctions Policy, FINRA Needs Analysis and Training Plan. • Ensured the BD’s compliance with private placement and public offering procedures. • Conducted training sessions and annual compliance meetings.

New York, Us

Capital Markets: • Advise issuers and broker-dealers on compliance with the U.S. Securities Act and Exchange Act, FINRA Rules and state securities laws.• Advise clients on registration statements, prospectuses, underwriting agreements, agency agreements and placement agent agreements for public offerings of securities. Advise clients on Canadian short-form prospectuses, confidential offering memoranda/private placement memoranda, underwriting agreements and agency agreements for private placements of securities. • Advise clients and draft all documents for the formation and equity offerings of hedge funds, private equity and real estate funds for compliance with the Inv. Co. Act of 1940. Broker-Dealers: • Advise broker-dealers on compliance with the U.S. Securities Exchange Act of 1934 and state laws. • Prepare extensive, complex FINRA new membership applications and continuing membership applications. Draft and advise clients on Forms BD and U4, written supervisory procedures and AML written supervisory procedures. Draft responses to SEC and SRO inquiry letters and SEC no-action letters. • Advise clients on various matters, including, limitations on lobbing of government securities business, soft dollar arrangements, research, marketing, trading, KYC, suitability, record-keeping and privacy issues. • Advise clients on Rule 15a-6 for foreign entities engaged in limited broker-dealer functions within the U.S. or with U.S. Persons. Extensive experience dealing with the staff of the SEC, FINRA and state regulators. Investment Advisers: • Advise investment advisers on compliance with the Investment Advisers Act of 1940 and the implications of the Dodd-Frank Act. Prepare registration applications for SEC registration and state notice filings, and state registration filings. Draft and advise clients on Form ADV, WSPs and code of ethics, investment advisory agreements, agency cross transactions and solicitation agreements.

Manhattan, Nyc, Us

Capital Markets: • Advised issuers and broker-dealers on compliance with the U.S. Securities Exchange Act of 1934, FINRA Corporate Financing Rules and state securities laws for public offerings of equity and fixed income securities. • Advised clients on registration statements and prospectuses, confidential offering memorandums, underwriting agreements, agency agreements, placement agent agreements, agreements among underwriters and engagements letters for public and private offerings.Broker-Dealers: • Advised clients regarding compliance with FINRA rules in connection with public offerings, prepared responses to FINRA inquiry letters and obtained FINRA no objections letters. • Analyzed initial and secondary public offerings, omnibus shelf offerings and various debt securities offerings. Drafted and advised clients on Forms BD, BDW and U4, and responses to SEC and SRO inquiry letters. Advised on requirements of Rule 15a-6 for foreign entities engaged in limited broker-dealer functions within the U.S., securities holding position reporting requirements, research, marketing, trading, know your customer, suitability, record-keeping and privacy issues. Investment Advisers: • Advised clients regarding the Investment Advisers Act of 1940 and state securities laws in connection with company and agent licensing requirements for financial institutions with registered investment advisers, registered broker-dealer sales representatives, licensed insurance agents and bank trust officers providing investment advisory services. Advised clients on Form 13D and 13G filings.

Washington, Dc, Us

• Extensive experience handling matters involving initial and secondary public offerings, private placements, off-shore offerings, and exempt offerings of debt and equity securities for alleged violations of the Securities Act of 1933, Securities Exchange Act of 1934 and the rules promulgated thereunder. • Reviewed and analyzed corporate documents including board minutes, bridge loan agreements, selling shareholder agreements, audit reports, and legal opinions; corporate filings including registration statements, prospectuses, offering memorandums, and annual filings; and due diligence matters handled by accountants, attorneys and broker-dealers. • Handled all phases of enforcement efforts for alleged violations of the federal securities laws.

Juris Doctor, Law

Education record

Education record

Education record

Bachelor Of Science (Bs), Marketing And Law And Public Policy

Bachelor Of Science, Marketing; Managerial Law & Public Policy