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Current Resume Ss Document Transcript

  • 1. Dennis Bertron 44 Newman Avenue Verona, New Jersey 07044 Home: (973) 857-2779 dbertron@comcast.net Cell: (201) 704-8592 Summary: Accomplished, energetic corporate and securities attorney with over 10 years of sophisticated regulatory and compliance experience including experience gained in-house, at major corporate law firms and with the U.S. Securities and Exchange Commission. Dedicated and detail-oriented. Areas of expertise include: SECURITIES LAW – REGULATORY COMPLIANCE – GOVERNMENT RELATIONS REGULATORY REPORTING - RISK MANAGEMENT – LEGAL RESEARCH, ANALYSIS AND WRITING Experience: Atticus Capital LP, New York, NY January 2007 – January 2009 Atticus Capital LP is a hedge fund with approximately $13 Billion AUM. Atticus has offices in New York and London. Vice President and Assistant General Counsel ● Recruited by general counsel to improve the Firm’s regulatory reporting in the U.S. and around the world. Responded to regulatory inquires from various foreign securities regulators. Successfully registered an Atticus manager as a Foreign Institutional Investor with the Indian securities regulator (SEBI). Maintained regular dialogue and managed foreign and domestic legal counsel. ● Introduced internal systems and reports to improve regulatory compliance procedures. Prepared Forms 13F, Schedules 13D and 13G, and Forms 3, 4 and 5 with the SEC. Improved efficiency and reduced costs by filing some reports in-house. ● Updated the Firm’s compliance manual. Assisted in the Firm’s annual compliance seminar. Prepared compliance reports for management and trading staff. Supervised the Firm’s trade management (Charles River) system and cleared trade alerts and warnings. Tailored trade alerts to ensure trading efficiency. ● Counseled executive management and the trading staff on such issues as foreign trade regulations, employee trading, short selling and the marketing of fund interests around the world. ● Prepared Hart-Scott-Rodino Act Premerger Notifications and responded to inquiries from the Federal Reserve Bank. Negotiated non disclosure agreements and contracts with outside service providers. Sidley Austin LLP, New York, NY August 2004 – December 2006 Associate ● Advised major domestic and international corporations, investment banking firms, commercial banks, and hedge funds in respect of federal and state broker-dealer rules and regulations, applicable self-regulatory organization rules and regulations, and general securities matters. ● Prepared regulatory filings on behalf of clients required by the SEC, NASD (now FINRA) and other SROs. Counseled clients on Rule 144 resales and short swing profit issues under Section 16. Prepared Forms 13F, Schedules 13D and 13G, and Forms 3, 4 and 5 with the SEC ● Counseled new broker-dealer clients and assisted in the NASD membership application process. Prepared all necessary documents in the application process including Forms BD, written supervisory and compliance manuals, business plans, anti-money laundering compliance issues and Rule 15a-6 “Chaperone” Agreements for foreign broker-dealers operating in the U.S. Akin Gump Strauss Hauer & Feld LLP, New York, NY May 2001 – August 2004 Associate ● Prepared beneficial ownership statements under the Exchange Act (Schedules 13D and 13G, Forms 3, 4 and 5) and counseled public and private investment fund clients on associated issues. ● Prepared memoranda and advised clients about compliance issues under the Sarbanes-Oxley Act, Rule 144, Regulation S, the partial tender offer rules, exchange traded funds, the short sale rules, and the rules and regulations of the NYSE and various SROs.
  • 2. Dennis Bertron Home: (973) 857-2779 dbertron@comcast.net Cell: (201) 704-8592 Thelen Reid & Priest LLP, New York, NY December 1999 – May 2001 Associate ● Prepared registration statements under the Securities Act of 1933 (e.g., Forms SB-2, S-3 and S-8) and the Exchange Act (e.g., Forms 8-A, 8-K, 10-K and 10-Q). Prepared registration materials on Form ADV for a new investment adviser and counseled clients on issues such as wrap fee arrangements, advertising and other compliance issues under the Investment Advisers Act of 1940. Prepared articles on various securities law topics for publication to clients on such topics as Regulation FD, Rule 144, Regulation S and Rule 10b5-1 trading plans. U.S. Securities and Exchange Commission, Washington, D.C. February 1997 – December 1999 Attorney/Adviser, Division of Corporate Finance ● Examined various registration statements, annual, periodic and current reports, shareholder proposals and other materials filed with the SEC by domestic and foreign issuers. Examined documents filed with the SEC relating to initial public offerings, mergers and exchange offer transactions. Also examined more sophisticated transactions such as “toxic” convertible share offerings, “Exxon Capital” exchange offerings, and “going private” transactions. and proxy contests involving management and insurgent parties. ● Responsible to review and analyze proxy statement submissions to the Divisions, including proxy contests involving management and insurgent parties. ● Selected to be a rotating attorney in the Division’s Office of Chief Counsel to supervise the Division’s shareholder task force of about a dozen attorneys in reviewing over 300 no-action letter requests. Drafted numerous no-action letter responses on behalf of the Division. Early Career History Includes: Prudential Insurance Company of America, Legal Assistant, Newark, NJ 1995 - 1997 (full-time while attending law school at night) Morgan Guaranty Trust Company of New York, Legal Assistant, New York, NY 1989 - 1994 (full-time while attending law school at night) Shearman & Sterling, Legal Assistant, New York, NY 1987 - 1988 Nashoba Cable Television, Production Assistant, Westford, MA 1986 Education: BA, Boston College, Chestnut Hill, MA, 1986. JD, Seton Hall University School of Law, Newark, NJ, 1996. Bar Admissions: New York, New Jersey Publications: ● Member of the Advisory Panel to The Corporate Counsel.net. ● Contributing Author, Shareholder Proposal Handbook, (2002 Aspen Publishers). ● Co-Author with Richard Y. Roberts – Regulation FD: Leveling the Playing Field, eSecurities, November 30, 2000. References: Available upon Request