Representative Experience
- Reviewing and negotiating service agreements between a fund and its investment adviser, transfer agent and distributor.
- Addressing regulatory and contractual issues involved in a change in service provider.
- Counseling clients on structuring arrangements with service providers to satisfy regulatory concerns regarding compensation and other matters.
- Reviewing and negotiating recordkeeping/sub-transfer agency agreements with third-party administrators and other retirement plan service providers.
- RIA Merger Conference: Compliance, Regulation & Growth, November 10, 2025
- IM Coffee Chat – Session Eight – New Adviser Advertisement Rule – Performance Advertising, March 17, 2021
- IM Coffee Chat – Session Seven – SEC’s New Marketing Rule: Testimonials and Endorsements, March 10, 2021
- IM Coffee Chat – Session Five – 2021 Form ADV Updates, February 26, 2021