Executive Director And Associate General Counsel
CurrentExperienced investment management attorney:• Provides practical solutions for complex securities, corporate, and banking law and regulation issues, including Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, ERISA, Bank Holding Company Act, Dodd-Frank , Volcker Rule, FINRA rules, and State corporate and securities laws. • Deep understanding of various investment vehicles, including separately managed accounts (institutional and retail), collective investment trusts (CITs), private funds, mutual funds, UCITS, and AIFs. • Strong working relationships with the firm's personnel, including Distribution/Client Services; Product ; Compliance/Operational Risk Control; Investments (Equities, Fixed Income, Passive investing, Multi-Asset, OCIO and Multi-Manager Investment Solutions); Trading; Operations; Finance; Marketing; and internal and external auditors.• Drafts contracts, including investment management agreements, investment policies, soft dollar agreements, referral/distribution agreements, confidentiality agreements, license agreements, vendor agreements, merger and asset purchase agreements, etc.• Advises on fund formation and maintenance, including offering and subscription documents.• Handles regulatory examinations, including the SEC, Federal Reserve, DOL, and state banking regulators.• Advises on compliance policies/procedures.• Advises on legal/compliance issues for marketing materials.• Advises on regulatory filings (e.g., Form ADV, 13F, 13G, etc.).• Advises on trading issues (e.g., best execution, affiliate transactions, trade allocation/aggregation, etc.).• Advises on soft dollar research and commission sharing arrangements under Section 28(e) and MiFID II.• Advises on political contribution and lobbying rules.• Serves as Corporate Secretary for various legal entities.• Advises on corporate governance.• Organizes Board meetings.
