• Advising funds and their boards on the legal issues relating to advisory and Rule 12b-1 fees and distribution arrangements. He also advises on fund governance, conflicts and general fiduciary duty issues, and director and officer liability insurance issues.
    • Advising funds, their boards and advisers on matters related to trading practices, affiliated transaction issues, asset custody, proxy voting policies and issues, SEC no-action and exemptive relief, closed-end fund discount and activist issues, and negotiation of contracts.
    • Representing funds, their boards and advisers in corporate acquisitions and transactional matters, fund and adviser reorganizations and change of control matters, and fund adoption transactions. 
    • Counseling funds, their boards, and advisers and distributors on corporate matters, regulatory compliance, inspections and enforcement, litigation and arbitration matters.
    • American University, B.A., 1990, cum laude
    • Georgetown University Law Center, J.D., 1995, cum laude
    • District of Columbia
    • California
    • Maryland
    • Advisory Board, BoardIQ
    • Independent Counsel Roundtable Advisory Committee Member, Independent Directors Council (IDC)
    • Member of Editorial Board, The Investment Lawyer
    • Enterprise Risk Oversight: This Year’s News and the Related Risks — Independent Directors Council’s 2018 Fund Directors Forum, Washington D.C. (October 16, 2018)
    • Board Oversight of Investment Risk — Mutual Fund Directors Forum Policy Conference, Washington, D.C. (April 20-21, 2017)
    • Registered Funds Track — 2016 San Francisco Investment Management Symposium, San Francisco, CA (November 9, 2016)
    • 2016 Independent Counsel Roundtable — Presented by the Independent Directors Council, Washington, D.C. (July 20, 2016)
    • Systemic Risk & Asset Management: How FSOC Designation, Greater Prudential Regulation and Risk Management Will Impact the Business & Its Regulators — 2015 San Francisco Investment Management Symposium, San Francisco, CA (December 9, 2015)
    • Product Council Roundtable — Mutual Funds Education Alliance, Chicago, IL (September 28, 2015)
    • The SEC on Board Self-Evaluations — 2015 Policy Conference presented by the Mutual Fund Directors Forum, Washington, D.C. (April 9, 2015)
    • Navigating the New Regulatory Structure Governing Money Market Funds — Dechert LLP, Webinar (April 8, 2010)
    • Fund-Linked Derivatives -Panel I — Securities Industry and Financial Markets Association's Hedge Funds & Alternative Investments Summit and Exposition, New York, NY (June 17, 2008)
    • Understanding the SEC’s Proposed Changes to Form ADV Part II — Dechert LLP, Webinar (April 29, 2008)
    • Regulatory Changes in the United States Hedge Fund Market - Recent Development and Capital Raising Opportunities for Hong Kong Hedge Fund Managers“ — The Alternative Investment Management Association (AIMA), Hong Kong (January 18, 2007)
    • Soft Dollars — IAA Compliance Workshops, Los Angeles, CA (November 16, 2006)
    • Strategies for Risk Assessment, Monitoring and Testing, and Creating a Compliance Calendar — 2005 IAA Compliance Workshops, Los Angeles, CA (November 15, 2005)
    • The New Hedge Fund Adviser Registration Requirements in the USA: What They Mean For Hong Kong Managers — AIMA Hong Kong Chapter Luncheon Talk, Hong Kong (January 13, 2005)
    • Recent Issues in Financial Services — Investment Company Institute's Mutual Funds Conference, Palm Desert, CA (April 1, 2003)