Jason M. Daniel

Partner

Areas of Focus

Jason M. Daniel

Partner

jdaniel@akingump.com

Areas of Focus

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Biography
  • Focuses on investment management issues.
  • Represents alternative investment funds.
  • Handles compliance, securities trading and reporting issues and securities issues in connection with mergers and acquisitions (M&A) and restructuring.

Jason Daniel focuses on securities trading and reporting advice, investment advisor compliance and registration, and securities advice in respect to M&A.

Representative Work

Securities Trading and Reporting Advice

  • Represented multiple fund clients that were affiliates of issuers with the resale of securities under the Securities Act of 1933
  • Advised multiple fund clients in connection with filing exemptions from Schedules 13D and G and Forms 3, 4 and 5, and in connection with determining potential exemptions from disgorgement
  • Represented an activist fund in two ultimately successful proxy contests for a “short slate” of nominees to be elected to the board of directors of a public company
  • Represented a distressed debt fund in connection with the sale of a portfolio company’s equity securities as a selling stockholder in an initial public offering and follow-on offerings.
  • Assisted with bankruptcy structuring to address Section 13(d) and 16 issues.

Investment Adviser Compliance and Registration

  • Reviewed and commented on multiple Forms ADV Part 1A and Parts 2A and 2B
  • Reviewed multiple compliance manuals in connection with the Investment Advisers Act of 1940 and the Securities Act of 1933
  • Analyzed whether over 60 managers were required to register under the Investment Advisers Act of 1940
  • Advice regarding compliance on the various rules under the Investment Advisers Act of 1940.

Education
  • J.D., Washington University School of Law, 2001

  • B.A., University of Missouri - Columbia, summa cum laude, 1997

Bar Admissions
  • Texas

Affiliations and Public Service
  • Member, State Bar of Texas.
  • Adjunct professor at Southern Methodist University for Private Funds Law
Speeches and Publications
  • Panelist, “MFA First Look: SEC 13D and G Beneficial Ownership Reporting,” Managed Funds Association, October 2023.
  • Panelist, “Electronic Communications Sweep: How Large and Small Investment Advisers Can Respond,” DFW Financial Services Counsel Roundtable, Dallas, February 2023.
  • Panelist, “US Regulation: The Trump Impact,” Maples Investment Funds Forum, Grand Cayman, February 2019
  • Panelist, “New government, new regulation, new perspective,” HFM Dallas Operational Leaders Summit, Dallas, May 2017
  • Panelist, “Ask a regulator: what the SEC really wants,” HFM Dallas Operational Leaders Summit, May 2016
  • Panelist, “SEC Examination Priorities and Compliance Best Practices,” Texas Hedge Fund COO/CFO Roundtable Networking Dinner, Dallas, February 2016

Insights and Achievements

    Blog | Speaking Sustainability

    March 12, 2024

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          Blog | Speaking Sustainability

          March 12, 2024

          Read More

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