Robert Griffith Email & Phone Number

New York, New York, Us

Oklahoma City, Oklahoma, Us

New York, New York, Us

Provided legal support for Goldman Sachs Asset Management’s (GSAM’s) registered fund complex consisting of open-end funds, closed- end funds, exchange-traded funds and the firm’s alternative investment business, including:* Primary legal support for Goldman Sachs’s U.S. Money Market Fund complex;* Spearheaded the successful creation and registration of GSAM’s first closed-end fund and providing primary legal support for the maintenance of the firm’s closed-end fund complex;* Assisted in the creation, registration and maintenance of the firm’s exchange traded fund complex;* Supported Goldman Sachs & Co.’s third party distribution business, with primary support responsibilities for the Bank Channel and Global Liquidity Management business lines; andDaily responsibilities included: providing legal support to all aspects of the firm’s registered and private fund businesses including the formation, distribution and daily operation of registered open-end and closed-end funds, ETFs and private funds; oversight of registered fund regulatory filings; coordination with compliance professionals to oversee regulatory compliance; review of marketing materials and oversight of the firm’s website to ensure compliance with SEC and FINRA requirements; extensive board contact; advising clients on Investment Company Act and Investment Advisers Act matters, as well as general securities matters. Responsible for revisions to firm’s Error Policy and Best Execution Policy and currently serve on GSAM’s Incident Working Group and New Instrument Committee.

Tokyo, Jp

Provided primary legal support for Nomura Asset Management U.S.A. Inc., Nomura Corporate Research and Asset Management Inc. and Nomura Funds Research and Technologies America, Inc., including their separate account businesses, hedge funds and fund-of-fund platforms.

New York, Ny, Us

Rotated through the firm’s capital markets, mergers and acquisitions and corporate banking practice groups, representing a diverse client base in a variety of transactions.* Within the firm’s Registered Investment Company group, primarily represented underwriters and issuers in initial public offerings of closed-end investment funds. As fund counsel for Legg Mason’s closed-end fund complex, prepared board materials and SEC filings, no-action letters and petitions to exclude shareholder proxy proposals. Within the firm’s Private Funds group, represented private funds in their formation and capital procurement process.* As a capital markets associate, represented underwriters and issuers in connection with offerings of equity, high-yield and investment grade debt and hybrid securities, including registered and 144A/Reg S offerings. Managed over thirty-five closings.* As a mergers and acquisitions associate, represented companies in public and private acquisitions, mergers, divestitures and strategic investments.* As a corporate banking associate, advised commercial lenders in multi-million dollar syndicated credit facilities.

Doctor Of Law (J.D.), Banking, Corporate, Finance, And Securities Law

Bachelor'S Degree, History Of Religion