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.

Areas of Practice
TÄTIGKEITSFELDER
Domaines D’Expertise
业务范围

Experience

ERFAHRUNG

EXPÉRIENCE

工作经历

Mr. Ji has significant experience in advising investment management firms in registering with, and operating as, investment advisers with the SEC. Additionally, he counsels clients on the application of the Advisers Act Section 206 fiduciary duty and disclosure obligations, portfolio management, custody rule, and marketing rule, as well as the implementation of compliance programs as required by Rule 206(4)-7 under the Advisers Act. Mr. Ji also provides regulatory advice in connection with internal compliance reviews and examinations, and the development and review of compliance programs.
Professional Experience

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.

Credentials

WERDEGANG

RÉFÉRENCES

专业资格

Education

J.D., 2013
University of Maryland Francis King Carey School of Law
(cum laude)
B.A., Sociology, 2006
Emory University

Admissions

Bar

Maryland
Get In Touch
Kontakt
NOUS CONTACTER
联系我们
Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.

Unsere Kunden verlassen sich auf unsere erstklassige Beratung, vor allem im Hinblick auf komplexe Transaktionen und High-Stakes-Prozesse. Spezialisiert auf Angelegenheiten der Finanz-, Life-Sciences-, Private-Equity-, Immobilien-und Technologie-Branchen, verwenden wir einen kooperativen und interdisziplinären Ansatz, um Fragen unserer Kunden auch in extremen Spezialsituationen einer Lösung zuzuführen. Sie wollen mehr erfahren? Kontaktieren Sie uns gerne.

Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

客户信赖我们世界一流的咨询服务,希望获得针对复杂事务性工作与高风险诉讼的建议。我们通过协作式、跨领域的工作方法来解决客户最棘手的问题,涵盖金融、生命科学、私募股权、不动产和技术等多个行业。如需更多信息,请与我们联系。