Dennis Gallagher

Financial Services Executive and Attorney with over 20 years of in-house legal and business experience for leading global financial institutions. Strategic partner and trusted advisor to C-suite, with a focus on asset management companies and related investment products. Dynamic solutions-focused team leader in multiple functions and for multiple business areas. Managed US and international teams and projects in areas including Legal, Compliance, Risk Management, Product Development, Project Management, Communications and Information Security. Advised on business strategy, acquisition opportunities, operational enhancements, regulatory and compliance issues, risk management, fund litigation and employment matters. Developed a strong track record of collaboratively leading the successful execution of numerous cross-functional strategic and operational initiatives. Served as Fund Board Chairperson and Board member of multiple international joint ventures. Broad experience and deep understanding of the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, CFTC, NFA, FINRA, ERISA rules and regulations. Specialties: - Asset Management – (US and International) - Corporate Governance - Mutual Funds, UCITS, CITs, ETFs and Model Portfolios - Fund Board member - Compliance (1940 Acts) - Joint Ventures - Hands-on Leadership and Team Building - Outsourcing - Data privacy (including GDPR)