Custodian and Transfer Agents
- Draft custody agreement and transfer agent agreements
- Expert witness in a civil case involving transfer agent operations
- Draftsman of SEC's Unsafe and Unsound Practices flow chart of securities transfers
- In house counsel to a bank that was a transfer agent and custodian bank for institutional investors and mutual funds
Mutual Funds
- Counsel to the independent directors of $3 + billion fund complex
- Counsel to a major trustee of unit investment trusts
- Obtain SEC '40 Act exemptions for employees' securities companies
Hedge Funds
- Draft placement memorandum, operating agreement and management agreement for a hedge fund
- Prime Broker agreements
- Capital introduction programs
Swaps and other derivatives
Stock loan, stock borrow and matched book agreements
