John Mclean Email & Phone Number

New York, Ny

Senior in-house counsel supporting multiple retail and institutional business lines within the Investment Management division of the Bank, including mutual funds, closed-end funds, UCITs funds, wrap programs, separate accounts, private funds and general brokerage accounts/products. Areas of focus include: (i) drafting, reviewing and negotiating distribution, investment management, placement and inter-company agreements, (ii) counseling management with regarding to the interpretation and implementation of various SEC and FINRA rules and regulations and (iii) review of marketing materials and compliance policies and procedures.

New York, Ny

Served as counsel in the legal department of a large financial services organization providing legal support for multiple business lines of a dually registered broker-dealer/investment adviser operating in the retail and institutional markets

New York, Ny

Served as a consultant in the compliance department of Guardian's securities broker-dealer subsidiary. Core responsibilities included review of sales literature, client correspondence and internal communications/presentations with respect to registered representatives and financial advisors to ensure compliance with regulatory and company-specific rules and regulations, as well as responding to questions from the field regarding the interpretation of such rules and regulations.

Jersey City, Nj

Senior lawyer involved in a variety of matters relating to SEC-registered investment adviser, FINRA-registered mutual fund distributor and three mutual fund complexes, including retail and variable annuity funds. Fund complex previously included two NYSE-listed closed-end funds, which were converted to open-end funds. Areas of focus included:-Corporate governance/board meeting preparation -Fund formation and new product launches-Review and negotiation of distribution, investment management, general commercial and ISDA agreements-Review of marketing material to ensure compliance with SEC and FINRA standards-Preparation and review of disclosure documents (e.g., registration statements, Form ADV, Form N-CSR, Form N-Q)-Preparation and review of proxy statements and merger registration statements-Drafting compliance policies and procedures-Analysis of new and amended securities laws to determine impact on business-Registration of investment adviser as a CPO and ongoing requirements-Best execution and soft dollars

Senior lawyer responsible for oversight of corporate and regulatory matters relating to SEC-registered investment adviser, open-end and closed-end funds and FINRA-registered mutual fund distributor. Responsibilities included fund formation and product launches, review and negotiation of distribution, investment management and ISDA agreements, review of marketing material to ensure compliance with SEC, FINRA and GIPS standards, review of various disclosure documents, including registration statements, annual reports and quarterly reports, and preparation for and participation in board meetings.

J.D.

A.B., Economics