Chris P. Hayes

RELEVANT EXPERIENCE

Most recently, Chris was Senior Legal Counsel at Rockefeller Asset Management with a focus on their investment advisory and hedge fund business. Chris also provided advice on several foreign jurisdictional and registration concerns for the advisory and family office business. Chris previously served as Chief Compliance Officer and Managing Director at 1919 Investment Counsel and was a member of the firm’s operating committee. Chris spent 12 years as Senior Legal Counsel at T. Rowe Price Associates as part of the global advisory group. Chris provided extensive services to T. Rowe’s trading desk on market structure issues and worked on multiple SEC comment letters. He also held a dual position as Assistant General Counsel of Interactive Brokers and Managing Director of Greenwich Advisor Services which focused primarily on registering advisers with the SEC and state regulators. Chris started his career as an attorney at The Boston Company Asset Management (an equity focused boutique that was an affiliate of Mellon Bank).

Areas of Experience include:

• Investment Management
• Trading
• Brokerage and Soft Dollar Matters
• Capital Markets
• Investment Advisory
• General Legal and Compliance Counsel
• Compliance Policies and Procedures
• Investment Company Act of 1940
• Investment Advisers Act of 1940
• Anti-Money Laundering (AML) and Know Your Customer (KYC) Compliance
• Securities and Asset Management
• Risk Management Frameworks
• Investment Banking
• Stakeholder Management
• Investor Relations
• Asset Management
• Investor Dispute Settlement
• Periodic Compliance Reporting

REPRESENTATIVE MATTERS

Chris has collaborated over the years with the Investment Adviser Association, serving on various committees including the Legal and Regulatory Committee. He has contributed to discussions about regulatory changes and related comment letters. Chris has collaborated on drafting testimony before the SEC as well as US Senate testimony regarding concerns about market structure and high frequency trading practices.