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Mutual Fund Attorney

Location:
Scarsdale, NY
Posted:
December 09, 2019

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Resume:

DANIEL E. BURTON

** ****** *****, *********, ** *0583

914-***-****

ada096@r.postjobfree.com

EXPERIENCE

Morgan Stanley, New York, NY August 2004–September 2019 Executive Director

Counseled clients on investment company, investment adviser, broker-dealer, transfer agent, and corporate matters, focusing primarily on 1940 Act registered investment products. Provided legal advice to portfolio management, operations, product development, accounting, compliance, and sales/marketing departments for new and existing products. Represented legal department on Product Action Committee to develop new investment products, product features, and strategic initiatives. Represented legal department on Valuation Committee. Responsible for registration statements, proxy materials, and other SEC filings. Prepared and reviewed 15(c) responses and board meeting materials. Drafted documents for mutual fund reorganizations, liquidations, and other business transactions. Negotiated various service provider, intermediary, and non-disclosure agreements. Counseled clients on separately managed account business and third-party sub-advised fund business. Advised clients on implementing changes to address SEC regulatory developments. Supervised attorneys and paralegals.

Hartford Financial Services Group, Hartford, CT April 2001–June 2004 Senior Counsel and Assistant Vice President

Counseled clients on investment company, investment adviser, and corporate matters, focusing primarily on 1940 Act registered investment products. Responsible for registration statements, proxy materials, and other SEC filings. Reviewed advertising and provided advice on sales activities. Assisted clients in developing new investment products and rationalization of product lineup. Served as counsel at, and prepared materials for, board meetings. Advised clients on various matters related to separately managed account business, including RFP responses, marketing presentations, and investment management contracts. ING Aeltus Investment Management, Hartford, CT August 1997–March 2001 Assistant General Counsel

Counseled clients on investment company, investment adviser, broker-dealer, and corporate matters, focusing primarily on 1940 Act registered investment products. Responsible for SEC filings and shareholder reports. Served as counsel at, and prepared materials for, board meetings. Reviewed advertising and provided advice on sales activities. Drafted and negotiated contracts for separately managed accounts. Assisted clients in developing new investment products. U.S. Securities and Exchange Commission, Washington, DC August 1996–August 1997 Attorney - Office of Chief Counsel, Division of Investment Management Conducted research and drafted memoranda analyzing and interpreting federal securities laws, concentrating on those governing investment companies and investment advisers. Drafted responses to requests for “no-action” relief under federal securities laws. Assisted in drafting rules implementing the National Securities Markets Improvement Act of 1996. Worked with attorneys from other SEC divisions on various projects, including those involving enforcement matters. K&L Gates, Washington, DC September 1992–August 1996 Associate

Counseled investment companies and investment advisers on regulatory and operational matters. Drafted memoranda analyzing and interpreting federal and state securities laws. Created new open- end and closed-end investment companies. Drafted registration statements, proxy materials, and other SEC filings. Prepared documents for mergers and acquisitions of investment management organizations. Responded to disclosure and regulatory issues raised by SEC staff during examinations and inspections. Prepared materials for board meetings. Advised clients regarding advertising and sales activities.

U.S. Securities and Exchange Commission, Washington, DC. September 1991–December 1991 Legal Intern - Division of Enforcement

Investigated securities law violations and participated in enforcement proceedings. Conducted research and drafted memoranda on various securities law issues. EDUCATION

The American University, Washington College of Law, Washington, DC J.D., magna cum laude, May 1992

Boston University, Boston, MA

B.A., magna cum laude, May 1989

BAR ADMISSIONS

New York, 2010; Connecticut, 1999; District of Columbia, 1994; Pennsylvania, 1992



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