Prior to joining Goodwin, Mr. Ji was Senior Counsel at the Division of Examinations of the U.S. Securities and Exchange Commission. There, he led SEC examinations of domestic and foreign registered investment advisers. As examinations team lead, he evaluated investment advisers, principally with regards to compliance with the Advisers Act, including registration statements and regulatory filings with the Commission, portfolio management processes and disclosures, custody, marketing and advertising materials, fees and expenses, and compliance policies and procedures. In cases where an examination escalated into an enforcement matter, Mr. Ji served as liaison between the Division of Examinations and the Division of Enforcement.
Daniel Ji is an associate in Goodwin’s Financial Industry, Investment Management and Private Investment Funds practices. Mr. Ji specializes in advising a wide range of registered investment advisers, including hedge funds, private equity funds, venture capital funds, institutional and retail asset managers regarding matters that arise under the Investment Advisers Act of 1940 (the “Advisers Act.”) Based on his almost 6 years of experience as Senior Counsel at the U.S. Securities and Exchange Commission’s Division of Examinations, Mr. Ji counsels investment advisers on a variety of SEC regulatory filings and compliance matters, including representing investment advisers and funds in SEC examinations.
Mr. Ji is admitted to practice in Maryland only; his application to the D.C. bar is pending. His practice is supervised by D.C.-admitted lawyers at Goodwin.
University of Maryland Francis King Carey School of Law