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 Chisolm
Ms. 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.