Partner
CurrentExperience includes:● counseling boards of directors● advising on all aspects of open-end and closed-end funds regulation, product development, disclosure and compliance matters● counseling investment advisers on matters relating to federal and state regulation, marketing, product development, investment restrictions and compliance● advising clients through regulatory exams● handling private fund, broker-dealer, board management and compliance issues● handling M&As involving investment companies and investment advisers● drafting and negotiating selling, revenue-sharing and other distribution agreements between U.S. and non-U.S. funds and intermediariesSpeaking engagements:Independent Directors Council Philadelphia Chapter Meeting “40 Act Fund panel,” Finadium Securities Lending Conference “Mutual Funds at a Glance: Cybersecurity Best Practices and Industry Regulatory Updates,” Stradley Ronon and Grant Thornton webinar“Managing Disclosure Risk with ArcProspectus: How Much Does it Help,” RR Donnelley Annual User Conference“Improving Disclosure to Reduce Litigation Risk,” Stradley breakfast at ICI Mutual Funds and Investment Management Conference"Director Discussion Series," sponsored by Mutual Fund Directors Forum“Making Sense of the CFTC Harmonization Rules for Registered Investment Companies and Their Investment Advisers,” webinar sponsored by RR Donnelley and Stradley Ronon“The Directors Point of View: A Discussion of Current Mutual Fund Issues,” sponsored by Stradley “New Director Training,” Mutual Fund Directors Forum Directors' Institute “The CCO’s Point of View: Making Sense of Recent Regulations and Enforcement Proceedings,” sponsored by Stradley Ronon“Investment Adviser M&A Strategies and Succession Planning,” webinar sponsored by Stradley Ronon, Incap Group and Genworth Financial
