Kevin Gleason
The Northwestern Mutual Life Insurance Company
Address
720 East Wisconsin Ave
Milwaukee,
WI
53202
Kevin Gleason
The Northwestern Mutual Life Insurance Company
Get Legal Help Today
About Kevin Gleason
For more than 15 years, I have provided unparalleled legal leadership and business growth to investment companies, alternative asset managers, investment advisers, broker dealers, insurance companies, banks and trust companies. As Assistant General Counsel for The Northwestern Mutual Life Insurance Company, and previously as Senior Counsel for Bank One Corporation (acquired by JP Morgan Chase) and Counsel for Carr Futures, Inc./Carr Global Advisors LLC (subsidiary of Credit Agricole), I have been instrumental in developing and launching new products and services, supporting a number of business lines, and establishing reforms and processes that have contributed millions of dollars to the bottom line. A few highlights include:
· Led up to six-member legal teams and outside counsel in high-impact initiatives. Advised institutional and retail asset managers (Banc One Investment Advisors and Mason Street Advisors) preparing regulatory filings, negotiating investment management agreements, drafting disclosures, amending policies and procedures and reviewing offering documents. Directed discussions on capital market assumptions, asset allocation, best execution, average pricing, block trading, trade allocation, dispersion and other performance reporting and the use of third party investment managers and executing brokers.
· Played key role in investment management decision-making and the new product development process related to managed accounts, common trust funds, collective investment funds, structured products, derivatives, and alternative assets for the $60B+ Bank One Trust Company Private Client Services and $10B+ Northwestern Mutual Wealth Management Company businesses.
· Worked extensively with private investment companies and unregistered funds. Directed staff lawyer and paralegal in preparing offering memorandum, subscription agreement and marketing materials for $250M Banc One Opportunity Fund. Established off-shore entity in the British Virgin Islands. Served as lead attorney for Carr Global Advisors LLC (“CGA”), a 14-fund hedge fund of funds adviser, with AUM of approximately $400M. Registered CGA with the SEC. Handled regulatory and corporate matters for its off-shore funds in the Cayman Islands. Maintained listing requirements on the Irish Stock Exchange.
· Negotiated ISDA, prime brokerage, other trade account documentation and market data agreements for OTC and exchange traded derivative transactions with various counterparties and derivative exchanges in Asia, North America, Europe, South America and Australia. Saved $500,000+ annually by advising on back office transfers in trading foreign currency futures.
· Provided legal advice on state insurance laws, NAIC Model Regulations, the Securities Act of 1933, the Exchange Act of 1934 and FINRA Conduct Rules governing the distribution and sale of insurance and investment products for two broker dealers: Banc One Securities Corporation and Northwestern Mutual Investment Services.
DISTINCTIONS
Presented, National Society Compliance Professionals Regionall Meeting–“Conducting Internal
Compliance Reviews" (Apr 12, '10)
Presented, IA Compliance Best Practices Summit—“New Expectations for Due Diligence of
Sub-Advisers” (Mar 25, ’10)
Presented, National Society Compliance Professionals Annual Meeting–“Fundamentals of
IA Compliance” (Oct 25, ‘09)
Quoted, IA Week, “Confusion Over Types of ETFs Argues For Simplicity in Reporting” (Aug 24, ’09)
Compliance Reviews" (Apr 12, '10)
Presented, IA Compliance Best Practices Summit—“New Expectations for Due Diligence of
Sub-Advisers” (Mar 25, ’10)
Presented, National Society Compliance Professionals Annual Meeting–“Fundamentals of
IA Compliance” (Oct 25, ‘09)
Quoted, IA Week, “Confusion Over Types of ETFs Argues For Simplicity in Reporting” (Aug 24, ’09)
Contributed, SIFMA SEC No-Action Letter re NYSE Rule 353(b) and NASD IM-2420-2 (Nov 20, ‘08)
Contributed, IAA SEC No-Action Letter re Investment Adviser Regulatory Issues (Jul 3, ’07)EDUCATION
MBA (March 2010), The University of Chicago Booth School of Business
Concentrations: Finance, International Business and Strategic Management
JD/Masters in Financial Services Law (with honors), IIT Chicago-Kent College of Law
BA, Economics, University of Notre Dame
Bar Admissions
BA, Economics, University of Notre Dame
Bar Admissions
States of Illinois (1991), Wisconsin (2005) and New York (Applicant) · US Court of Appeals for Seventh Circuit (1993) General Federal Bar (1991) and Trial Bar (1996) of Northern District of Illinois
Featured MCLE Courses Special Offers
$58 For 24 Hours of New York CLE Full Compliance - Lowest Price
This CLE package will satisfy all of your New York CLE requirements! The MCLEZ New York Bundle A provides 24 hours of CLE credit, including 4 hrs ...
Learn More
Limited Time Offer
Milwaukee Insurance Lawyers
I am Attorney John Casey. My personal injury law firm is committed to holding reckless and negligent individuals & businesses responsible for t...