Rishika Raha
Legal & Compliance Associate - ETC
- Role
- Legal and Compliance Associate at Exchange Traded Concepts, LLC
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Rishika Raha
Up and coming, highly skilled and educated legal professional with expertise in the area of corporate law and arbitration, looking for growth opportunities with a reputable firm, where my skills can be honed and optimized.
Experience
Legal and Compliance Associate
Feb 2022 — Present · NY, US
Compliance and legal work under the Investment Company Act, 1940 and Investment Adviser’s Act, 1940- Filing responses under section 15(c) of the Investment Company Act, 1940- Carrying out reviews and compliances mandated by the Securities and Exchange Commission with respect to Exchange Traded Funds (ETFs)- Reviewing and vetting Prospectus and Statement of Additional Information under Form N-1A- Compliance reviews under Rule 12d(1) of the Investment Company Act, 1940- Reviewing and collating legal and compliance documents with respect to Board reporting- Drafting and vetting agreements with the Trust with respect to ETFs – Investment Advisory Agreements, Sub-Advisory Agreements, Fee Waiver Agreements, Expense Limitation Agreements, etc- Reviewing the legality of marketing materials – Reviewing whether marketing materials used by various Funds comply with the disclosures made in the prospectus and also compliant with the SEC mandate- Conducting due diligence- Conducting Fund Website Reviews
Education
Symbiosis Law School, NOIDA
B.A LL.B, Law
2012 — 2017
Penn State University
Master of Laws - LLM, International Litigation and Arbitration
2021 — 2021
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.