Scott Kirwin Email & Phone Number

San Diego , Ca, Us

Leads legal support for Cetera's Workplace & Retirement Services team, including Cetera's defined contribution and defined benefit products and services.

Boston, Ma, Us

Professor of Financial Regulation and Ethics in Masters of Management and Administration programs.

Boston, Ma, Us

Served as lead attorney for Strategic Advisers (SAI), the money manager for Fidelity’s retail and workplace managed account products, and FIdelity Instiutional Wealth Adviser (FIWA), the investment adviser to Fidelity’s institutional advisory platform business. Counseled senior management on product development, regulatory, litigation and risk issues. Led the legal team that supported SAI’s retail and workplace managed account products, including individual account management, high net worth products and captive pooled investment vehicles. Advised on all facets of investment management activity, including separate account management, wrap programs, asset management platforms, trade allocation, best execution and sub-adviser oversight. Managed legal teams supporting Fidelity’s retail digital client experience, digital advisory platforms, and intermediary managed account platforms. Advised Fidelity businesses on the implications of offshore activity, including the development of foreign investment advisory arrangements and foreign participating affiliate business units. Advised Fidelity senior leadership on a broad base of securities law disciplines, include Investment Advisers Act, Investment Company Act, ERISA, FINRA and CFTC/NFA issues. Oversaw negotiation of all manner of contracts related to SAI and FIWA businesses, including advisory and subadvisory agreements, model and distribution arrangements, and technology/vendor contracts. Periodically advised board of directors for SAI mutual funds on product development, regulatory matters, and wrap account structural issues. Managed legal team responsible for Fidelity’s workplace managed account programs, including advising on investment management, advisory and (3)(38) ERISA fiduciary issues. Participant in a variety of industry associations and frequent speaker on investment management and adviser riskissues, with past presentations at industry conferences for FINRA, SIFMA, MMI and PLI.

Boston, Ma, Us

Boston, Ma, Us

Boston, Ma, Us

Acted as managing attorney for SAI, FIWA and other Fidelity registered investment advisers. Served as lead counsel to various retail, workplace and intermediary product and distribution teams for advisory and managed account services. Counseled senior management on restructuring diversified investment advisers into multiple advisory businesses, including reorganization of legal structure and associated regulatory and contractual modifications for lifecycle and captive mutual funds. Managed various legal teams supporting new product development initiatives, including Fidelity’s retail roboadviser platform, Fidelity’s private wealth management offering, and retail separate account platform. Advised on compliance with the Investment Company Act with respect to fund-of-funds and manager-of-manager structures, including management of conflicts of interest and exemptive relief.

Boston, Ma, Us

Acted as securities lawyer for SAI and the Global Asset Allocation group of Fidelity’s asset management division. Counseled a variety of Fidelity business units and senior leaders on investment advisory, mutual fund and financial planning products. Provided legal advice on emerging lines of retail-facing advisory services and the build-out of several new product offerings including workplace managed accounts, intermediary-sold model portfolios, and 529 educational savings products. Consulted on legislative and regulatory projects for the asset management legal team, covering legislative policy and response projects on Dodd-Frank legislation and investment adviser and broker-dealer fiduciary regulation. Responsible for analysis and compliance with updates to the securities laws, Forms ADV 2A and 2B, private fund reporting, custody and pay-to-play rules. Drafted comment letters and participated in meetings with SEC staff and other regulators on IA/BD issues. Counseled business with respect to redevelopment of mutual fund wrap and unified managed account platforms, including the development of captive multi-manager funds and registered funds-of-funds.

Boston, Ma, Us

Represented open-end and closed-end mutual fund complexes, registered investment advisers, hedge fund advisers, and private fund sponsors. Counseled a variety of investment management and corporate clients with respect to public offerings, buyout financing, syndicated debt offerings and leveraged loan trading and structuring. Acted as counsel for a family of closed-end funds, including several initial public offerings, ongoing oversight, regulatory documentation, and board preparation and presentation. Advised hedge fund complexes on fund structuring, offering documentation, and general compliance matters. Counseled mutual fund complexes on Investment Company Act issues, board relations, annual filings, and launch of new mutual fund products. Assisted multiple mutual fund complexes on the acquisition of fund groups in stock or asset deals, including transaction documentation, structure, and mergers designed to facilitate business integration. Represented multiple investment advisers during SEC sweep and for-cause examinations, as well as during SEC and state regulatory litigation.

Jd, Cum Laude, Law

B.S., Summa Cum Laude, Political Science; History