Thomas Humbert
Director and Associate General Counsel @New York Life
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WORK HISTORY
Director and Associate General Counsel @New York Life
EDUCATION
California State University-Sacramento
BA, Economics
Seton Hall University School of Law
Juris Doctorate
ABOUT THOMAS HUMBERT
Work - I have many years of experience in the mutual fund (both open end and closed end funds) and investment management areas. I also have significant experience in managing disclosure and special projects teams. My experience includes all regulatory filings with the SEC and NYSE, fund formations, liquidations and reorganizations, key service contract negotiations, trading agreement negotiations (prime brokerage, ISDA, collateral control agreements etc…) monitoring and addressing key regulatory developments with impacted stakeholders, and working closely with all business areas on the day-to-day management of funds. Prior to going in-house, I specialized in investment management and foreign private issuer work at Fulbright & Jaworski LLP and other large law firms. Volunteer Work Since 2025 I have volunteered at the Market Street Mission in Morristown, NJFrom 20••••15 I was a member of the Morris Township Volunteer Fire Department - Fairchild CompanySpecialties: Investment Company Act of 1940; Investment Advisers Act of 1940, product development; portfolio trading related matters; team construction and management. Personal Details: I am an avid outdoorsman and enjoy spending time with my family hiking, fishing, boating and doing many other outdoors activities. I also enjoy being involved with my children in their many sporting activities.
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