Georgetown University Law Center

University of Dayton

Partner, Legal and Compliance; Chief Compliance Officer (US) at SoftBank Investment Advisers

Rock Springs Capital

General Counsel & Chief Compliance Officer

SoftBank Investment Advisers

Partner, Chief US Regulatory Counsel; Chief Compliance Officer (US)

Advise the firm and its affiliates regarding compliance with laws and regulations applicable to broker-dealers and investment advisors.  Draft, implement and oversee firm policies and written supervisory procedures.  Lead initiative to provide regulatory and compliance tools and information to independent investment adviser clients.  Craft guidelines for programmers and technology staff in response to new regulations or new business lines.

Interactive Brokers

Associate General Counsel

Office of Chief Counsel:  Evaluated requests for regulatory relief from provisions of the Investment Advisers Act and Investment Company Act. Advised the Office of Compliance Inspections and Examinations on various legal issues arising from compliance examinations.

Counsel to the Director:  Advised the Director on all issues related to the Investment Company Act, Investment Advisers Act, and other federal securities laws.  Liaised and coordinated with other offices, divisions, and the Commission on policy initiatives and intergovernmental regulatory matters.  Prepared briefing materials, public remarks, and talking points for Division leadership and the Chair.  Led special projects on matters pertaining to Dodd-Frank implementation, ETFs, and pending policy priorities.   

Rulemaking:  Advised the Commission on the proposal and adoption of rules and forms under the Investment Company Act, Investment Advisers Act, and other federal securities laws.  Led Division efforts related to ETF rules, and collaborated on rulemakings related to derivatives, money market funds, target date funds, portfolio holdings reporting, and Forms N-1A and ADV.  Participated in Office of Compliance Inspections and Examinations investigations of registered investment advisers.  Reviewed applications for exemptive relief.

U.S. Securities and Exchange Commission

Senior Counsel, Division of Investment Management

Senior associate in Stradley Ronon's Investment Management and Mutual Funds practice group.  

Represented registered open-end and closed-end investment companies, including ETFs, investment advisers, and broker-dealers regarding regulatory and compliance issues.  Advised clients on all issues related to the Investment Company Act, the Investment Advisers Act, the Securities Act, the Securities Exchange Act, and FINRA Rules.  Prepared regulatory filings, articles of incorporation, similar governing materials, proxy documents, Board materials, and various third party contracts.  Prepared fund registration statements, including prospectuses and statements of additional information, and annual filings.  Reviewed and drafted compliance policies and procedures for funds and advisers.  Assisted in preparing no-action requests.

Assisted in formation of limited liability companies, limited partnerships, and offshore funds.  Prepared various hedge fund documents, including private placement memoranda, subscription documents, as well as investment management, custody, and administrative services agreements.

Stradley Ronon Stevens & Young, LLP

Senior Associate

Associate in the Investment Management and Corporate practice groups.

Investment Management:  Counseled registered investment companies, hedge funds, private equity funds, fund sponsors, investment advisers, and broker-dealers as to the applicability of, and compliance with, the Investment Company Act, Investment Advisers Act, Securities Act, Securities Exchange Act, and Commodity Exchange Act.  Prepared closed-end fund registration statements, annual filings, and applications for exemptive relief.  Formed real estate investment trusts, limited liability companies, limited partnerships and offshore funds.  Drafted corporate documents and various fund related contracts.  

Mergers and Acquisitions, Corporate Finance & General Corporate:  Represented clients in M&A transactions, which included preparing public filings, managing the due diligence process, drafting and negotiating confidentiality and purchase agreements, and disclosure schedules.  Represented issuers in raising capital, which included drafting registration statements and preparing responses to comment letters.

Aidan Hugh O'Connor