Dennis Bertron Email & Phone Number

● Oversee all compliance matters for this dynamic and growing multibillion dollar Asia and Pacific rim-focused registered investment adviser ($4B AUM+) with 7 offices around the world (NY, Stamford, San Francisco, London, Tokyo, Hong Kong and Singapore). Report directly to the G.C. Regularly sit on the trading desk. ● Manage advisor examination from the Securities and Exchange Commission in May, 2010. Respond to staff initial requests for information and all subsequent requests. Review and respond to deficiency letter. ● Responsible to ensure appropriate regulatory and internal processes and controls are established and working properly. Daily interaction with portfolio managers and traders. Confer and advise on significant compliance matters and issues. Maintain restricted trading list. Review, develop and maintain compliance policies and procedures. Monitor new regulatory mandates, rules, requirements and inform trading staff and portfolio managers. Develop policies relating to custody of client assets, pay-to-play and social networking.● Draft and revise the Firm’s compliance manual and Form ADV. Perform annual compliance assessment by the Chief Compliance Officer. Oversight of Code of Ethics compliance including employee personal account trading.● Review and negotiate non-disclosure and confidentiality agreements. Review marketing materials, soft dollar requests, best execution issues and proxy materials.● Daily monitoring of trade allocations, investor and regulatory investment restrictions, pari passu reports, ownership concentration reporting in the U.S. and in foreign jurisdictions.● Prepare quarterly Forms 13F and foreign ownership filings in Japan, Australia and the U.K.

Boutique legal services firm with a concentration in transactional corporate and securities law. The firm represents U.S. and foreign corporations, financial institutions and private investment funds in mergers and acquisitions, corporate transactions, international transactions, and debt and equity offerings. The firm also represents individuals in FINRA dispute resolution arbitration proceedings. * The firm's investment management practice includes hedge fund formation and compliance, investment adviser regulation and ongoing compliance with the Investment Company Act and Investment Advisers Act. In this regard, the firm provides its investment management clients with compliance and regulatory consulting services.

Assisted the Chief Compliance Officer in maintaining and monitoring the Firm's compliance manual, policies and code of ethics. Periodically tested compliance procedures relating to such issues as best execution, risk assessment, trade allocations and employee trading. Provided compliance support to the Firm's London office. Assisted with staff compliance training, including the annual compliance review. * Counseled management about compliance issues with the Investment Advisers Act and the Investment Company Act. Interpret and apply investment adviser regulations and recommend appropriate policy changes. * Recruited by general counsel to improve the Firm's regulatory reporting in the U.S. and around the world. Prepared all domestic and foreign regulatory securities ownership filings. Responded to regulatory inquires from various foreign securities regulators. Maintained regular dialogue with foreign and domestic legal counsel. Filed regulatory reports in Germany, France, the Netherlands, Hong Kong and United Kingdom. Introduced new systems and reports and improved efficiency by filing most U.S. and U.K. reports in-house.* Performed regular trade and portfolio surveillance. Supervised the Firm's trade management (Charles River) system and cleared trade alerts and warnings. Monitored the Firm's watch list and restricted list. * Reviewed marketing materials. Advised the marketing staff about marketing firm interests around the world. * Reviewed and negotiated vendor contracts, non-disclosure agreements, and confidentiality agreements.

Advised major domestic and international corporations, investment banking firms, commercial banks and hedge funds in respect of federal and state broker-dealer rules and regulations, self-regulatory organization rules and regulations and general securities matters. Advised clients about issues and compliance with the Securities Act, Securities Exchange Act, Investment Company Act and Investment Advisers Act. * Counsel clients and prepare regulatory filings required by the SEC, NASD (now FINRA) and other Self- Regulatory Organizations (SRO). Counseled clients on Rule 144 resales and short swing profit issues under Section 16. Prepared Forms 13F, Schedules 13D and 13G, and Forms 3, 4 and 5 with the SEC.* Counseled new broker-dealer clients and assisted in the NASD membership application process. Prepared all necessary documents in the application process including Forms BD, written supervisory and compliance manuals, business plans, anti-money laundering compliance issues and Rule 15a-6 "Chaperone" Agreements for foreign broker-dealers operating in

Prepared registration statements under the Securities Act of 1933 (e.g., Forms SB-2, S-3 and S-8) and forms under the Securities Exchange Act of 1934 (e.g., Forms 8-A, 8-K, 10-K and 10-Q). Prepared registration materials on Form ADV for a new investment adviser and counseled clients on issues such as wrap fee arrangements, advertising and other compliance issues under the Investment Advisers Act. Prepared articles on various securities law topics for publication to clients on such topics as Regulation FD, Rule 144, Regulation S and Rule 10b5-1 trading plans.

* Examined various registration statements, annual, periodic and current reports, shareholder proposals and other materials filed with the SEC by domestic and foreign issuers. Examined documents filed with the SEC relating to initial public offerings, mergers and exchange offer transactions. Also examined more sophisticated transactions such as "toxic" convertible security offerings, "Exxon Capital" exchange offerings, "going private" transactions, and proxy contests between management and third-party insurgents. * Reviewed and analyzed proxy statement submissions to the Division, including proxy contests involving management and insurgent parties. * Selected to be a rotating attorney in the Division's Office of Chief Counsel to supervise the Division's shareholder task force of about a dozen attorneys in reviewing over 300 no-action letter requests. Drafted numerous no-action letter responses on behalf of the Division. Early Career History Includes

Jd, Law

Ba, History, Speech Communications

History

Activities and Societies: Was active with WFUV, the school radio station.Transferred in 1984 to Boston College.

Education record