Stephen R. Rimes Email & Phone Number

Strong In-house Counsel experienced in the investment management industry with a successful history of exceeding objectives. Skilled in investment management, governance matters, capital markets, corporate law, contract drafting and negotiations, and numerous investment products (open/closed end funds, UITs, private placement funds, collective investment funds, hedge funds, and various securities and derivatives). Demonstrated leadership positions, including head of U.S. product development for Legal and project management for numerous corporate initiatives. Develops strong working relationships with executives and business leaders to help them strategize and achieve their objectives. Results-oriented with a focus on communication and inclusion. Substantial experience in working in a highly regulated environment and supporting legal needs of various investment and operational functions.Command of U.S. federal securities, banking, investment management, investment advisory, State Blue Sky and corporate laws (including '33 Act, '34 Act, the Advisers Act, and '40 Act), capital markets, product distribution, capital formation, wholesaling, investment banking, equities, securities regulations, corporate governance and mergers & acquisitions.

Listed skills include Securities Regulation, Mutual Funds, Broker Dealer, Hedge Funds, and 20 others.