Rishika Raha
Legal and Compliance Associate @Exchange Traded Concepts, LLC
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WORK HISTORY
Legal and Compliance Associate @Exchange Traded Concepts, LLC
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
Penn State University
Master of Laws - LLM, International Litigation and Arbitration
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.
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