Edwin Batista Email and Phone Number

• Advise clients on regulatory compliance for registered investment companies.• Assist with the formation of new investment funds and structuring of complex fund transactions.• Provide ongoing advice to clients on operational matters related to their investment funds.• Draft and review fund offering documents, including prospectuses and annual reports.• Conduct legal research and analysis on various regulatory and compliance matters affecting registered investment companies.• Participate in the ChatGPT/AI working group, contributing insights and recommendations on the use of AI in the legal industry.

• Advised on all aspects of legal and regulatory matters for the Brighthouse Funds. • Prepared and oversaw registration statement updates.• Prepared and oversaw drafting of SEC filings (e.g. Form N-14, Fund Supplements, and Form 485A) relating to sub-adviser changes, new portfolios, substitutions, and M&A activity.• Attended board and committee meetings and made presentations, such as regulatory updates, to Trustees.• Oversaw annual 15C Subadviser review process.• Updated and maintained Form ADV disclosures and other filings as required with the SEC.• Provided advice regarding implementation of new mutual fund related regulations.• Served as Assistant Secretary for the Brighthouse Funds.

• Prepare regulatory filings, including registration statements, shareholder reports, proxy statements, information statements and Form ADV Part 2A brochures.• Provide governance and administration support to a variety of funds and clients.• Prepare board and committee meeting materials including board memos and reports.• Attend board and committee meetings and take minutes and make presentations such as regulatory updates.• Work as legal liaison with senior-level client officers, fund counsel, fund trustees/directors and auditors.• Work with clients to respond to new SEC and FINRA rules affecting the investment management industry.• Service client requests and needs by managing and delegating assignments to a team of paralegals.

• Advise investment and business personnel on rules and regulations associated with the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other regulatory requirements. • Collaborate with counsel to implement and ensure continued compliance with regulations. • Assist with the formation, maintenance and regulatory compliance of GMO’s various funds. • Draft error-resolution memoranda and work directly with the CCO in the preparation of reports to the GMO Trust and Series Trust Boards. • Review, draft and negotiate various legal documents such as legal letters, amendments to contracts, supplements, policies, etc. • Responsible for conducting the firm's NFA self-exam. • Prepare various regulatory filings, including NFA and CFTC exemptions, Treasury filings (TIC-S, TIC-SLT, and TFC-3, among others) and review SEC filings, including Form ADV and Fund Prospectuses. • Review RFPs, DDQs, and other data request from clients.• Act as Registered Principal to and reviewed fund marketing materials for regulatory compliance. • Assist in the coordination, preparation, and filing of annual and periodic compliance program reports/reviews to satisfy client, regulator, and internal management requirements, including the Rule 206(4)-7 annual compliance program. • Assist with producing responses to SEC inquiries during examinations.• Assist with maintaining the Firm’s KYC/AML Program• Assist with Firm’s personal trade reviews.

Reviewed and updated controls, managed deliverables from external auditors, and facilitated communication between the business lines, internal audit, and external auditors. Conducted due diligence on service providers for registered funds, including conducting site visits, performing risk assessments and testing adequacy of controls. Coordinated regulatory examinations, working directly with examiners and providing necessary reporting to executive committees and boards of directors. Designed and implemented global compliance and monitoring programs ad hoc, particularly regarding complaints and privacy.

Researched new and evolving regulations related to Dodd-Frank, new CFTC regulations, banking regulations, FATCA, and international regulations as they relate to US managers. Assisted in defining core provisions necessary for drafting of global oversight policies. Drafted legal memoranda on important regulatory developments and provided research on the applicability of rules and regulations as it relates to the specific businesses of Natixis's affiliates.

Conducted legal research and drafted memoranda of law, Motions for Summary Judgment, Document Requests and Interrogatories for civil matters involving individuals and businesses.

Actively traded on platform with the objective of generating a robust portfolio. Blogged about trading experience.

Observed Home Improvement Contractor Hearings and drafted decisions. Coordinated the Home Improvement Arbitration Program. Conducted research for OCABR’s Data Breach Project.

Conducted legal research and drafted memoranda on criminal and civil matters, including motion for new trial based on ineffective counsel assistance and police use of deception to obtain consent to search a premises without a warrant. Observed trials, motion sessions, sentencing hearings, and pleas.

Conducted research for the “End of Men” project, involving the study of the connection between the War on Drugs and the mass incarceration of African Americans and other minorities. Assisted with the publication of Professor Cooper's "We are Always Already Imprisoned: Hyper-Incarceration and Black Male Identity Performance" and his "Identities Cubed: Perspectives on Multidimensional Masculinities Theory" research papers.

Specialized in Private Equity Partnerships (minimum net worth of $50 million). Worked closely with Fund Accounting Department to collect and process data necessary to produce accurate financial statements. Calculated financial statement disclosures based on regulatory and Generally Accepted Accounting Principles requirements, Financial Reporting Platforms, and all related system applications.

Specialized in exchange traded funds. Received and reconciled daily bank statements and determined cash availability of portfolios for short-term investment purposes. Updated applicable assets and liability accounts and followed-up on past due coupons, interest receivables, and unsettled securities transactions. Calculated, verified, and processed daily income and expense accruals ensuring accuracy of Net Asset Value, interest, and coupon distribution computations.