Mr. Putney represents investment companies, investment advisors, administrators, broker-dealers and other financial institutions on a variety of legal and compliance matters, including: registration, disclosure issues, mergers and acquisitions, reorganizations, exemptive orders, no action letters, and other regulatory matters. He works with open-end funds, including money market funds, closed-end funds, and unregistered funds, as well as retail and institutional separate accounts. In addition, he counsels independent fund Directors and Trustees on governance, regulatory, compliance, and other issues. He is experienced in drafting Rule 38a-1 annual compliance reports for registered fund Boards. He has also coordinated responses to numerous examinations performed by the U.S. Securities and Exchange Commission Office of Compliance Inspections and Examinations.
Mr. Putney has over 20 years experience in investment management matters. He previously served in-house as Senior Counsel to firms including Merrill Lynch Investment Managers, Old Mutual Capital, and BlackRock. He has also served as a Chief Compliance Officer and in other compliance roles for BlackRock and its affiliates.