Overview

Craig regularly assists registered investment advisers with all aspects of their operations, including formation, registration, licensing, disclosure, privacy, client contracts, employee agreements, compliance programs and website and advertising review.  In addition, Craig frequently helps advisers navigate and respond to regulatory examinations and conduct annual compliance reviews.

Craig also advises investment company clients on a regular basis.  Craig has substantial experience in organizing and launching funds, drafting prospectuses and service provider agreements, advising fund boards, seeking exemptive relief, responding to inquiries from regulators, and coordinating with fund service providers. Craig has also helped many funds prepare and deliver proxy materials to shareholders and has assisted in the successful completion of a number of fund reorganizations. 

In addition to investment company clients, Craig has significant experience in helping private investments funds prepare offering documents and comply with federal and state registration exemptions.

In addition, Craig, who has earned the International Association of Privacy Professionals (IAPP) Certified Information Privacy Professional/United States (CIPP/US) credential, counsels investment management and other clients on compliance with state, federal, and international laws governing information privacy and security.

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