Julie D'Angelo

• Represented issuers in securities transactions, including IPOs, follow-on offerings and de-SPACs.
• Advised clients on public company readiness, SOX compliance, federal and state securities laws compliance, corporate governance and emerging regulatory issues.
• Drafted and reviewed registration statements, including Forms S-1, S-3, S-4 and S-8.
• Liaised with SEC and FINRA on securities offerings and compliance matters.
• Drafted and reviewed periodic federal securities filings, including Forms 8-K, 10-Q, 10-K, Section 16 reports and proxy statements.
• Drafted and reviewed listing applications for NYSE and NASDAQ.
• Assisted clients with preparation for and conduct of shareholder meetings and board meetings.
• Supervised junior attorneys and paralegals and supported them with professional development.

• Role and responsibilities transitioned to Dykema Gossett PLLC in 2022.

• Career break to provide care to a parent during a critical illness.

• Provided legal counsel on federal securities law compliance and securities offerings.
• Structured and advised on alternative investment products and private fund management.
• Drafted private placement memoranda, fund agreements and regulatory compliance reports.
• Advised institutional and retail registered investment advisers and mutual funds on securities law compliance and reporting, corporate governance and new product formation and offering.
• Supervised junior attorneys and paralegals and supported them with professional development.

• Advised publicly-traded multinational financial institution on securities laws compliance.
• Managed legal matters for U.S. and non-U.S. investment adviser affiliates.
• Managed local outside counsel for non-U.S. affiliates.
• Drafted, reviewed and negotiated investment advisory agreements, commercial agreements and securities lending agreements.
• Drafted alternative investment offering documents and worked with business units to effectuate offerings.
• Assisted business units with SEC and FINRA examinations.
• Advised executive management on emerging regulatory developments, risk mitigation and fiduciary duty obligations.
• Served as Corporate Secretary to mutual fund complex and institutional investment adviser.
• Served on Compliance Committee and Code of Ethics Committee of institutional investment adviser.

• Represented issuers, underwriters and shareholders in securities transactions, including IPOs and follow-on offerings.
• Advised public companies on SEC reporting, corporate governance and M&A transactions.
• Drafted and reviewed SEC filings.
• Advised clients on shareholder meetings, proxy statements and board meeting preparation.