Education:
Harvard Law School Awarded Juris Doctor in 1994 University of North Carolina at Chapel Hill Awarded Bachelor of Science in Business Administration in 1991 |
Daphne Tippens ChisolmMs. Chisolm has practiced securities law for approximately 25 years. In-House Experience: She most recently served as General Counsel for a boutique asset management ETF company. She worked with the company from its inception in 2008 up until its sale to a South Korean financial services firm. She was instrumental in building the legal and compliance infrastructure and in supporting the growth of all business lines, including Product Development, Sales, Marketing, Operations, and Portfolio Management. Law Firm Experience: Ms. Chisolm has worked as an attorney with law firms (Dechert and K&L Gates, LP) that have been nationally recognized for their expertise in investment management and adviser law. SEC Experience: From 1999-2007, Ms. Chisolm worked for the U.S. Securities and Exchange Commission (SEC). She served as senior counsel for the Office of Chief Counsel in the Division of Investment Management. In that position, she reviewed and analyzed requests for no-action and no-enforcement relief under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. She also was responsible for drafting opinions, memoranda and letters concerning matters arising under the federal securities law. Ms. Chisolm also served as an aide to SEC Commissioner Harvey J. Goldschmid from 2002 to 2005. It was in that position that she gained the insight needed to effectively represent companies in front of the SEC. |
Education:
Western Carolina University Awarded Bachelor of Science in Business Administration and Law in 2004 |
Nanlee Vang
Ms. Vang has over 6 years of experience as a Paralegal. She first started working for a Personal Injury and Worker's Compensation Law Firm. In that role, she acted as a liaison between attorneys, clients, healthcare providers, insurance companies, and government agencies. She interviewed clients, witnesses, and experts to gather information for trials. Ms. Vang was responsible for maintaining a comprehensive medical file for each client and compiling the Demand Package. Ms. Vang was most recently a Paralegal for an Investment Company. In that role, she prepared and reviewed SEC filings and other materials in connection with the requirements of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. Such filings included amended registration statements, which include statutory prospectuses, summary prospectuses and statements of additional information ("SAI"); shareholder proxy statements; 13F Reports; XBRL filings; annual reports; prospectus and SAI supplements; and other mutual fund and securities-related SEC submissions. She also assisted the Legal and Compliance departments in email reviews and employee monitoring. Ms. Vang has extensive experience and proficiency in Workiva, a cloud based SEC filing platform. |
