Key Experience
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Focuses on investment management issues.
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Represents alternative investment funds.
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Handles compliance, securities trading and reporting issues and securities issues in connection with mergers and acquisitions (M&A) and restructuring.
Practice
Jason Daniel focuses on securities trading and reporting advice, investment advisor compliance and registration, and securities advice in respect to M&A.
Representative Work
Securities Trading and Reporting Advice
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Represented multiple fund clients that were affiliates of issuers with the resale of securities under the Securities Act of 1933
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Advised multiple fund clients in connection with filing exemptions from Schedules 13D and G and Forms 3, 4 and 5, and in connection with determining potential exemptions from disgorgement
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Represented an activist fund in two ultimately successful proxy contests for a "short slate" of nominees to be elected to the board of directors of a public company
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Represented a distressed debt fund in connection with the sale of a portfolio company's equity securities as a selling stockholder in an initial public offering and follow-on offerings.
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Assisted with bankruptcy structuring to address Section 13(d) and 16 issues.
Investment Adviser Compliance and Registration
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Reviewed and commented on multiple Forms ADV Part 1A and Parts 2A and 2B
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Reviewed multiple compliance manuals in connection with the Investment Advisers Act of 1940 and the Securities Act of 1933
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Analyzed whether over 60 managers were required to register under the Investment Advisers Act of 1940
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Advice regarding compliance on the various rules under the Investment Advisers Act of 1940.
Speeches
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Panelist, "US Regulation: The Trump Impact," Maples Investment Funds Forum, Grand Cayman, February 2019
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Panelist, "New government, new regulation, new perspective," HFM Dallas Operational Leaders Summit, Dallas, May 2017
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Panelist, "Ask a regulator: what the SEC really wants," HFM Dallas Operational Leaders Summit, May 2016
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Panelist, "SEC Examination Priorities and Compliance Best Practices," Texas Hedge Fund COO/CFO Roundtable Networking Dinner, Dallas, February 2016
Public Service and Affiliations
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Member, State Bar of Texas.
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Adjunct professor at Southern Methodist University for Private Funds Law