Meet Ed, clear thinker, straight talker, and contracts and regulations mastermind.
207 228-7182 direct
207 774-1200 main
207 774-1127 facsimile
100 Middle Street
PO Box 9729
Portland, ME 04104-5029
Financial Regulation & Compliance
Fund & Investment Product Formation
Here’s why you’ll enjoy working with him.
With 20 years of experience providing transactional and regulatory counsel to securities industry and financial services companies, Ed has seen nearly every type of contract, from nearly every angle. In capital markets transactions, he has drafted, reviewed, and negotiated contracts on behalf of trustees, administrators, custodians, escrow agents, and paying agents. He has also assisted clients in the asset management industry with everything from service provider agreements, to non-disclosure agreements, to escrow agreements.
In addition, Ed has counseled executive and mutual fund trustees on a wide range of regulatory compliance matters. He’s advised issuers and regulated entities seeking exemptive orders from the US Securities and Exchange Commission, and has helped clients launch mutual and hedge funds. Ed’s wealth of experience, coupled with his keen understanding of each client’s priorities, enables him to provide clear explanations and sharp, well-reasoned direction. Ed isn’t the only one who feels comfortable and confident in the face of complex finance transactions and regulations; his clients do, too.
But that’s not all. Ed is also very experienced in:
- Advising corporate trust clients, including banks and other financial institutions, on all aspects of capital markets transactions
- International and domestic debt securities transactions, including corporate, municipal, and structured finance transactions
- Drafting amendments to shareholder proxy statements and tender offers
- Assisting clients with platform agreements, shareholder service agreements, NSCC Trust Fund/SERV and Trust Networking agreements, vendor agreements, and account control agreements
- Compliance with the Securities Act of 1933, the Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940
- The rules of the Financial Industry Regulatory Authority and other self-regulatory organizations
- Representing clients in examinations and investigations by the SEC and the Office of the Comptroller of the Currency
- Drafting and amending registration statements for mutual funds
- Negotiating investment advisory agreements and other service provider agreements
- Advising clients on shareholder reports and other SEC filings
- Reviewing Form D findings
- Drafting and reviewing mutual fund policies and procedures
- Assisting hedge funds in drafting private placement memoranda and formation documents
In his former life, Ed was:
- Senior vice president and counsel for Citigroup, where he was the primary attorney responsible for matters concerning mutual funds in the Fund Services business unit, as well as overseeing corporate compliance with regulatory requirements
- Negotiating software and services agreements for a software company
When Ed isn’t working, he is…
Gliding around the hockey rink or sinking putts on the golf green.
JD, Washington University Law School, 1994
BA, Clark University, 1991
Admitted to practice
State of Maine
Commonwealth of Massachusetts
Maine State Bar Association