I’m an investor and professional working in financial industry. I work as a General Counsel/Chief Compliance Officer in DIAM USA, Inc, a New York-based institutional money management/alternative investment firm that manages billions of dollars in equity, fixed income and fund strategies for U.S. and Japanese institutional investors. At DIAM USA, I’m responsible for overseeing all legal and regulatory matters, developing and administering compliance programs consistent with the Investment Advisers Act of 1940, the Dodd-Frank Act and other applicable laws to meet SEC and CFTC requirements. In addition, I’m responsible for advising and communicating various complex legal matters to executive management, board of directors, and global compliance staff in New York, London and Tokyo. Prior to DIAM USA, I worked as a Chief Compliance and Legal Officer for Daiwa Asset Management (America) Ltd, a foreign subsidiary of the Daiwa Asset Management, Co., the second largest investment bank in Japan, headquartered in Tokyo. Prior to Daiwa, I worked with ING Financial Partners and MetLife Insurance Company. I’m also a member of New York State Bar Association, Business Law Section and sits on the Securities Regulation Committee, Private Funds Committee and Drafting Committee for the NY Bar Association.