Bo Howell

Founder & Managing Director

2022 - Current

Founder of FinTech Law, a technology-driven virtual law firm focused on financial service, technology, and startup companies. Our areas of expertise include: #private_funds, #registered_funds, #investment_advisers, #compliance, #startups, #crypto, #data and #privacy compliance, #corporate_governance, #securitieslaw, #corporatelaw, and more. Our team is located throughout the United States, including Cincinnati, Detroit, Miami, and Philadelphia.

Founder, Chairman, and Managing Director

2018

Joot provides compliance technology and services for small and middle-sized investment advisers, broker-dealers, and investment companies. Joot's web-based platform automates repetitive processes and data gathering, centralizes the storage of information, simplifies the completion of standard forms, and streamlines compliance testing and certification.

Partner

2020 - 2022

Partner

2018 - 2020

As a Partner at Practus, I primarily work with registered and unregistered investment companies and investment advisers in the areas of securities law, corporate law, and compliance. I strive to provide clients with smart, cost-effective ways to manage their legal and regulatory risks and develop innovative investment products. Practus is a legal practice with a new perspective: to offer sophisticated legal advice, knowledgeable attorneys, and fair, understandable, and workable relationship terms.

Vice President - Director of Fund Administration

2014 - 2018

Business executive and chief legal officer with responsibility for one of three main operational departments. My primary role is linking the strategic initiatives of Ultimus with the daily fund administration services that Ultimus provides to its fund and adviser clients. Corporate responsibilities include: identifying legal, regulatory, and business trends that affect the investment management industry; developing and implementing strategic initiatives for my clients and my firm; articulating strategic goals throughout the company; implementing SMART objectives to achieve the strategic goals; and compeling my colleagues to achieve greateness. Direct responsibilities over legal administration include: • Manage a team of attorneys, paralegals, and other staff in all areas of fund administration and middle office administration • Evaluate internal business projects relating to technology or process improvement, cost controls or reductions, and risk management; present business proposals to senior management • Serve on DCAP Committee with the oversight of disclosure and procedures and the issuance of shareholder report and determination of fair values on assets • Serve as senior counsel to firm in areas of contracts, intellectual property, merger and acquisitions, corporate law, and securities law • Serve as officer to registered open-end investment companies • Prepare regulatory filings on Schedule 14A, Form N-1A, N-14, N-SAR, N-CSR, and supplements • Manage contracts with vendors and outside counsel • Conduct due diligence on potential advisers • Serve as Fund CCO for manager-of-managers • Oversee the compliance program of the adviser and subadvisers and any SEC examinations • Maintain compliance policies and procedures • Conduct sub-adviser due diligence for existing and potential managers

Counsel - Securities/Mutual Funds

2012 - 2014

• Legal counsel to the Touchstone mutual fund complex, including the investment adviser and distributor • Manage service provider and derivative agreements • Reduced outside legal expenses by 50% within two years • Advise the CCO on compliance policies and procedures related to the investment adviser, the broker-dealer, and their affiliates; assist with annual Rule 38a-1 review and quarterly oversight; draft policies and procedures as required by the Investment Company Act and the Investment Advisers Act

Senior Counsel in Office of Disclosure and Review in the Division of Investment Management

2011 - 2012

• Review investment companies' filings for compliance with the federal securities laws and rules and provide written and oral comments on filings, such as registration statements (including Forms N-1A, N-2, and N-14), proxy statements (Schedule 14A), and periodic reports (including Forms N-SAR, N-CSR, SC-to-I). Registrants include mutual funds, closed-end funds, business development companies, and exchange-traded funds. • Identify areas of concern and specific companies’ practices that should be brought to the Division's attention. Work with the Office of Chief Counsel on addressing issues identified during the registration process or proposals raised by registrants. • Makes referrals to the Office of Compliance Inspections and Examinations and to the Division of Enforcement. • Respond to shareholder proposal no-action requests. • Serve on the IM Training and Internship committees.

Office of Enforcement Liaison in the Division of Investment Management

2009 - 2011

My responsibilities included reviewing and analyzing proposed enforcement actions recommended by the Commission's regional offices and the Division of Enforcement that involve violations of the Investment Company Act of 1940 and the Investment Advisor Act of 1940. Additional duties included providing legal advice to the Commission's enforcement staff concerning legal issues arising during the course of an investigation and to the Commission's inspection staff concerning legal issues arising during the course of inspections of investment advisers and investment companies. I reviewed the Disclosure Review Pages of registrant's Form ADV filings for potential enforcement recommendations. I also served on both the Division's Training and Advance Commitment Program Committees.

Judicial Clerk for Justice Mark Gibbons

2008 - 2009

Research, draft, and edit bench memorandum. Draft and edit proposed dispositions. Attend oral argument.

Judicial Extern for the Honorable Patricia C. Williams and the Honorable John A. Rossmeissl

2007 - 2008

Review Ex Parte Orders and submit comments to judge. Draft Bench Memorandums and Memorandum Opinions. Review pleadings and other submissions and prepare judge’s hearing work-ups. Observe hearings and trials. Research legal issues and draft memorandums for judge’s review and comment. Participate in meetings and confrences with judges discussing substantive issues and trends in bankruptcy law.

Editor-in-Chief

2007 - 2008

Over see the publication and business managment of the journal. Overal responsibility for quality, accuracy, and marketing of publication. Manager of recruiting and retention, revenue growth, and cost.