Marc A. Schuman

Summary of Legal Experience

Overview

I have a broad range of legal experience in the financial services industry, covering mutual funds and closed-end funds; pension plans subject to ERISA; and broker-dealers, investment advisers and hedge funds. My in-house experience includes serving in both a senior corporate legal capacity as well as a manager of legal regulatory services.

Areas of Emphasis

Securities registration filings and proxy statements, shareholder reporting and all aspects of ongoing compliance programs for SEC-registered fund vehicles;

Counseling boards of directors, including mergers of boards, director compensation, audit and other committees, relations with management, and proxy contests;

Cross-border provision of brokerage and investment advisory services by foreign-based financial institutions; Operational and compliance issues involved in proprietary trading and institutional brokerage services; wrap accounts; registration and supervision of personnel;

Exchange-traded funds; Leveraged closed-end funds, Hedge and Private Equity Funds; CLOs, CDOs and other specialized pooled investment vehicles;

Credit Default Swaps, establishment of a Derivatives Products Company;

Securities lending and currency exchange programs;

Legal opinions (corporate, transactional, regulatory);

SEC and DOL Enforcement and Regulatory Proceedings; and

Negotiating and drafting all types of commercial agreements

• License agreements

• Intellectual Property, Web and Technology Services, and

• Employment-related Agreements

Examples of Employment Background

Serving in the role of Senior Corporate Counsel at BISYS, a NYSE-listed public company, in which I was primarily responsible for all contract drafting and negotiation for both the client and vendor sides of our global fund services business, and also handled the drafting and negotiation of various corporate transactions and strategic business arrangements. As the senior lawyer with responsibility for this area I was listed on the corporate table of authority as responsible for preparation of, and legal sign-off on, all contracts and other legal documentation governing our U.S. and European operations.

Serving as a Senior Attorney at Morgan Lewis, in their nationally preeminent investment management practice.

Serving as a Senior Counsel at Aladdin Capital Management, a credit management firm with billions in assets under management, supporting several portfolio teams managing a range of offshore pooled credit vehicles as well as legal / compliance for US investment adviser and broker-dealer functions.