Throughout his legal career, Kevin has been instrumental in the development, listing,
and support of more than 250 ETPs across multiple global jurisdictions, guiding
companies on regulatory issues and rule changes related to investment management,
fund structure and formation, governance, exchange listing and trading, market
distribution, and advisory registration and compliance matters applicable to both US
and non-US domiciled firms. While serving as global in-house general counsel for a
global asset manager, Kevin also led the regulatory and legal initiative to expand
the ETFs’ global exchange listing and distribution for their ETFs, including
the launch of its UCITs ETF range.
Prior to joining the firm, Kevin served as general counsel and chief compliance
officer at an investment management firm, where he acted as head of legal and
regulatory compliance matters. He also provided support in product development and
exchange-listing activities for the ETF sponsor, including the initiation and
driving of regulatory rule changes for derivatives-based structured outcome funds,
which were new to market.
Kevin was also previously responsible for legal affairs, regulatory compliance
matters, risk, and corporate governance management for the Americas for a publicly
listed global asset management company and served as chief compliance officer of its
US investment management company subsidiary.
