Richard F. Jackson is counsel in the Asset Management Department in the Washington office. Richard has more than 25 years’ experience in the investment management field, including law firm and in-house practice and service at the Securities and Exchange Commission (SEC). He advises investment managers, broker-dealers and other financial institutions regarding compliance with the federal securities laws. Richard regularly advises managers to private investment funds, such as hedge funds, mutual funds, institutional and retail separate accounts as to the development and implementation of compliance policies and procedures, SEC registration and disclosure requirements, responding to inquiries from regulators, including examinations, and contract matters. He also has substantial experience in counseling mutual funds regarding organizational, governance, disclosure and compliance matters, advising firms seeking to rely on exceptions and exemptions from regulation under the Investment Company Act and Investment Advisers Act, and in representing firms seeking no-action or exemptive relief from the SEC.
Prior to joining Willkie, Richard was special counsel at WilmerHale. Earlier in his career, he worked at two other international law firms in Washington, an institutional investment manager in Philadelphia, and the SEC’s Division of Investment Management, Office of Chief Counsel.