Overview

Craig is a member of the firm's Corporate Transactions & Securities group. He advises clients in the investment management industry on meeting statutory and regulatory licensing, reporting, compliance and disclosure requirements.

Craig has assisted investment companies with a variety of matters, including:

  • Drafting prospectuses and statements of additional information, as well as "sticker" supplements to those documents
  • Drafting proxy statements, information statements and exemptive order applications
  • Reviewing annual and semi-annual shareholder reports
  • Drafting board and shareholder meeting minutes
  • Drafting and reviewing Section 15(c) questionnaires
  • Advising on ongoing compliance obligations under the Investment Company Act

His investment adviser experience includes:

  • Drafting principal registration and disclosure documents (Form ADV)
  • Drafting compliance manuals, advisory agreements and solicitor contracts
  • Reviewing and analyzing marketing materials and performance reports
  • Assisting advisers in responding to SEC inquiries and examinations

Craig also has assisted private investment funds by:

  • Drafting offering memoranda and subscription agreements for private investment fund offerings
  • Counseling on federal registration exemptions, such as Regulations D and S, and state securities laws
  • Advising on registration and ongoing compliance obligations under the Commodity Exchange Act and rules promulgated by the CFTC and NFA
  • Analyzing and applying exemptions from regulation under the Investment Company Act, including complex exemptions such as those provided by Section 3(c)(5) and Rule 3a-1

Additionally, Craig has advised on general business and securities issues, including dissolving and merging for-profit and nonprofit corporations and limited liability companies, as well as drafting and reviewing a wide range of business agreements.

Craig also has counseled clients on compliance with laws governing information privacy and security, such as the Gramm-Leach-Bliley Act, and he has obtained the Certified Information Privacy Professional/United States (CIPP/U.S.) credential from the International Association of Privacy Professionals (IAPP).

Publications
Presentations
  • “Overview and Impacts of General Data Protection Regulation (GDPR) and MiFID II,”  Cincinnati Compliance Roundtable, March 2018
  • “Privacy and Data Security Considerations in M&A Transactions,” IAPP KnowledgeNet (Columbus), September 2017
  • “SEC Exams of Investment Advisers and Investment Companies - What to Expect, How to Prepare and Mock Exam Protocols,” the Central Ohio Compliance Association, September, 2017
  • "Using Performance Data in Advertising – Guidelines and Recommendations for Avoiding the SEC’s Wrath," August 23, 2017
  • “Preparing for Changes to Form ADV – What You Need to Know Now,” the Central Ohio Compliance Association, April 2017
  • “Current Trends for Hedge Fund Managers: General Solicitation is In – ‘Bad Actors’ are Out,” the Central Ohio Compliance Association, November 2013
Professional and Civic

Professional Associations

  • International Association of Privacy Professionals (IAPP)

Community Activities

  • Alliance Française of Portland, Board Member, 2011-2013
  • Noontime Toastmasters of Portland, 2011-2013
  • Harvard Club of Central Ohio, Board Member
News