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Investment management attorney with extensive experience advising RIA personnel in all departments (e.g., Portfolio Management, Trading, Client Services/Distribution, Marketing, Compliance, Risk Control, Finance, Ops, audit, etc.) on complex legal and compliance issues. Experience working on many types of accounts and fund vehicles, including SMAs (institutional and retail), private funds, collective investment trusts, mutual funds, UCITS, and AIFs. Experience working with PMs in various asset classes, including Equities, Fixed Income, Asset Allocation, Client Solutions and Multi-Manager, Infrastructure & Private Equity (including fund-of-funds), and Real Estate funds-of-funds. Matters handled include: • Advising on legal/compliance issues under the Advisers Act, Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934, ERISA, Commodity Exchange Act, federal and state banking laws, and other laws and regulations.• Drafting/negotiating contracts and other legal documents, including investment management agreements, soft dollar agreements, referral and distribution agreements, confidentiality agreements, licensing agreements, service agreements, etc.• Drafting/reviewing offering documents, including prospectuses/offering memoranda, investment policies, subscription materials, etc.• Reviewing marketing materials• Handling federal and state regulatory exams, including the SEC, Federal Reserve, DOL, and state banking regulators• Preparing/reviewing regulatory filings, including ADV, 13F, 13G, etc.• Drafting/reviewing compliance policies and procedures• Advising on registration and disclosure requirements• Advising on purchasing IPOs under FINRA Rules 5130/5131 and restricted securities (e.g., 144As, Reg. S, etc.)• Organizing and running Board meetings• Drafting corporate documents, including articles of incorporation, bylaws, LLC agreements, minutes, resolutions, etc.• Advising on corporate governance and risk management
Ubs Asset Management - Americas
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Executive Director And Associate General CounselUbs Asset Management - Americas Jan 2004 - PresentExperienced 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.
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Associate AttorneySeyfarth Shaw Llp Aug 2000 - Dec 2003Chicago, Illinois, Us• Advised on a wide array of corporate and securities law issues, including legal entity formation and governance, mergers and acquisitions, SEC filings for public companies (e.g., SEC Forms 10K, 10Q, 8K, 4, etc.), private offerings, Investment Advisers Act , and Investment Company Act.• Clients included investment advisers, mutual funds, private funds, broker-dealers, governmental pension plans, and public and private operating companies. -
Summer AssociateD'Ancona & Pflaum Llc 1999 - 1999
Michael Calhoun Skills
Michael Calhoun Education Details
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Loyola University Chicago School Of LawLaw -
Goethe University FrankfurtPhilosophy
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New School For Social ResearchPhilosophy
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University Of IowaPhilosophy (With Honors) & Comparative Literature
Frequently Asked Questions about Michael Calhoun
What company does Michael Calhoun work for?
Michael Calhoun works for Ubs Asset Management - Americas
What is Michael Calhoun's role at the current company?
Michael Calhoun's current role is Executive Director & Associate General Counsel.
What is Michael Calhoun's email address?
Michael Calhoun's email address is mi****@****ubs.com
What is Michael Calhoun's direct phone number?
Michael Calhoun's direct phone number is +131234*****
What schools did Michael Calhoun attend?
Michael Calhoun attended Loyola University Chicago School Of Law, Goethe University Frankfurt, New School For Social Research, University Of Iowa.
What skills is Michael Calhoun known for?
Michael Calhoun has skills like Securities Regulation, Corporate Law, Fund Of Funds, Hedge Funds, Securities, Mutual Funds, Asset Management, Alternative Investments, Finra, Corporate Governance, Risk Management, Investments.
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