George N. Sapio
New York, New York 10011 Email: email@example.com
trueDIGITAL Holdings LLC (Fintech Digital Asset Exchange) 2017 – Present
trueEX Group LLC, New York, NY (Fintech Electronic Swaps Trading Platform) 2015 – Present
Manage all aspects of the legal functions supporting the trueDigital and trueEX Group of companies, including three operating subsidiaries (a swap execution facility (SEF) and an early-stage crypto regulated institutional spot exchange, custodian and clearinghouse); as well as two foreign subsidiaries (UK and Singapore); and three administrative subsidiaries.
Oversee, manage and execute all corporate legal matters related to corporate operations, including, employment/benefits, immigration, insurance, IP matters, real estate & property (all offices), client and vendor relationships and investor matters.
Structure, negotiate and manage nearly every acquisition, disposition and financial transaction from term sheet to closing.
Manage internal aspects of, and coordinate with outside counsel regarding, federal anti-trust litigation claim including case strategy, pleading preparations, depositions and settlement negotiations.
Decreased annual outside counsel expenses in first year as General Counsel by more than 50% and remained within annual legal budget year after year.
Coordinate with company’s Chief Regulatory Officer to design and build a compliance program in accordance with CFTC requirements.
Oversee all shareholder matters (stock register, conversion of debentures into preferred shares, etc.).
Handle all corporate governance matters for the group, including keeping board meeting minutes, drafting resolutions and attending meetings and advising board and its committees.
J.P. Morgan Chase & Co., New York, NY 2013 – 2015
Executive Director, Corporate Investment Bank Legal & Compliance Division
Led implementation of Volcker Rule compliance program across JPMC’s Investment Bank.
Advised on Dodd-Frank Title VII Swap Dealer compliance matters.
Morgan Stanley Wealth Management (formerly Citigroup Smith Barney), New York, NY 2006 – 2013
Executive Director, Legal and Compliance Division
Primary coverage attorney for OTC Derivatives, FX, Options and Stock Plan Services.
Advised senior management on matters related to Dodd-Frank, FINRA, NYSE and CBOE rules, KYC, sales practice, best execution, and general trading and sales support.
Led Dodd Frank implementation efforts related to Title VII.
Led integration teams related to the MSSB joint venture, including harmonization of products, practices and procedures between Morgan Stanley and Citigroup.
Compliance Functions: Drafted Compliance Policies and Procedures; Monitored and Tested efficacy of newly implemented protocols related to joint venture and Dodd Frank framework; Trained business and support functions on Dodd Frank requirements and new processes.
Negotiated relationships with clients, intermediaries, distributors and vendors.
GE Asset Management Incorporated, Stamford, CT 2004 – 2006
Vice President and Associate General Counsel, Office of General Counsel
Advised management with regard to the corporate, legal and compliance affairs of registered investment companies and insurance products.
Advised senior management regarding new products, transactions and share class initiatives.
Assisted in preparation of SEC exemptive applications and no-action requests.
Negotiated client and vendor agreements.
Advised fund boards on various governance matters.
PRIOR LAW FIRM EXPERIENCE
Akin, Gump, Strauss, Hauer & Feld, LLP, Washington, DC and London, UK
Associate, Corporate, Securities & Technology Sections
K&L Gates (formerly Kirkpatrick & Lockhart, LLP), Washington, DC
Associate, Corporate, Securities & ’40 Act Sections
Acted as Issuer’s counsel in various transactions, including, secondary equity offerings, securitizations, 144A/Regulation S offerings, private placements and high-yield debt and add-on offerings.
Mergers and Acquisitions
Represented companies, largely in the technology sector as well as some in the manufacturing and oil & gas sectors, in domestic and cross-border M&A transactions, dispositions and joint ventures.
Advised companies on ’33 and ’34 Act and state securities law issues and SEC filings, company formation, investments and corporate governance, including Sarbanes-Oxley.
Investment Company Act of 1940
Advised the Fidelity complex of mutual funds on regulatory and disclosure requirements under the Investment Company Act of 1940 Act.
American University, Washington College of Law, Washington, DC
The American University Law Review
Seton Hall University, South Orange, NJ
Bachelor of Science, Corporate Finance/English, Magna Cum Laude
Solicitor of England & Wales
District of Columbia (inactive)