Scarlett Du Email and Phone Number
Scarlett Du personal email
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SUMMARY OF QUALIFICATIONS• Extensive experience in advising registered and unregistered funds, advised and oversaw 23 mutual funds with assets over $110 billion;• In-depth knowledge of the Exchange Act, Investment Company Act of 1940 and Investment Advisers Act of 1940;• Strong background in SEC, FINRA and bank regulations related to the sale of investment and banking products;• A Certified Public Accountant (before law school) and possess working knowledge of financial analysis, accounting and corporate finance;• Fluent in Chinese.Specialties: Bilingual: Chinese (Mandarin & Cantonese-Native), NYS Certified Public Accountant
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General Counsel, Chief Compliance OfficerSchultze Asset Management, LpScarsdale, Ny, Us -
General Counsel And Chief Compliance OfficerA Hedge Fund Nov 2011 - PresentGreenwich, Ct- Advise a registered investment advisor ("RIA") relating to the Investment Advisers Act, from legal and compliance prospective;- Advise domestic and offshore unregistered funds (hedge funds) to comply with the exemption requirements of Regulation D of the Securities Act and Sections 3(c)(1) and 3(c)(7) of the Investment Company Act;- Identify and evaluate the impact of new and amended federal securities regulations (e.g. the Dodd-Frank Reform) and develop procedures to implement them;- Revise and update SEC filings such as annual Form ADV, Form PF, Form D and Schedules 13G and 13D; update blue sky filings;- Maintain and implement policies and procedures of the RIA's compliance program, evaluate its adequacy and effectiveness pursuant to Rule 206(4)-7 of the Investment Advisers Act;- Work closely with an independent compliance consulting firm to conduct annual onsite audit (mock SEC surprise exam) to evaluate the adequacy of compliance procedures; - Conduct compliance training for new and existing employees;- Manage outside counsels on general corporate and litigation matters.
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CounselConsulting (Part-Time) Feb 2010 - Oct 2011Greater New York City Area
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AttorneyThe Reserve Funds Jan 2008 - Jan 2010
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AssociateRopes & Gray Llp Sep 2005 - Jan 2008 -
Law ClerkUnited States District Court, Western District Of Michigan Sep 2004 - Sep 2005
Scarlett Du Skills
Scarlett Du Education Details
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City College Of CunyBa, Ma
Frequently Asked Questions about Scarlett Du
What company does Scarlett Du work for?
Scarlett Du works for Schultze Asset Management, Lp
What is Scarlett Du's role at the current company?
Scarlett Du's current role is General Counsel, Chief Compliance Officer.
What is Scarlett Du's email address?
Scarlett Du's email address is co****@****aol.com
What schools did Scarlett Du attend?
Scarlett Du attended Northwestern University Pritzker School Of Law, City College Of Cuny.
What skills is Scarlett Du known for?
Scarlett Du has skills like Securities Regulation, Securities, Corporate Governance, Corporate Law, Private Equity, Hedge Funds, Legal Research, Legal Writing, Financial Services, Contract Negotiation, Risk Management, Alternative Investments.
Who are Scarlett Du's colleagues?
Scarlett Du's colleagues are George Schultze, Brenda Schultz, David Bodick, Zack Weinberg, Leona Prince.
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