Vice President and Senior Counsel at State Street Corporation where he provided regulatory services to open-end funds, closed-end exchange traded funds and ETFs, including preparation of registration statement filings for existing offerings and new funds, preparation of proxy statements, review of shareholder reports, preparation of New York Stock Exchange filings and Board governance, including preparation of Board meeting Agendas, resolutions, minutes and Board memoranda.
Senior Counsel with Apex Fund Services (formerly, Atlantic Fund Services) where he managed a team of legal and compliance professionals providing regulatory services to mutual funds, including a proprietary series trust designed for advisers new to managing a registered investment company series.
Senior Counsel specializing in Investment Management with Cipperman & Company, LLC where he provided compliance, regulatory and legal advice to investment companies and served as fund and adviser Chief Compliance Officer.
Gino specializes in
Investment Management, Investment Companies, Investment Advisers, CCO and Compliance Programs, Investment Company Act of 1940, Investment Advisers Act of 1940 and other federal securities laws
Legal, regulatory and compliance matters for open-end funds, closed-end exchange traded funds and ETFs, and advisers.
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