Mary Joan Hoene
Mary Joan Hoene
Ms. Hoene is a recognized securities and investment management attorney with diverse experience in the financial services industry, and particular expertise with the Investment Company and Investment Advisers Acts of 1940. She works with fund sponsors, investment advisers, broker-dealers, commodity trading advisors, ETFs, registered and private funds, banks, insurance companies and the independent directors of investment companies.
She has held senior positions with several financial service institutions, including acting as Independent Fund Chief Compliance Officer at Bank of America, where she was responsible for establishing and defining the fund compliance program for mutual fund families aggregating more than $200 billion in assets, following the bank’s merger with FleetBoston Financial Corp.
Ms. Hoene also served as the first Deputy Director of the Securities and Exchange Commission’s Division of Investment Management, managing the disclosure, chief counsel, investment adviser and EDGAR pilot programs, and coordinating policy positions in legislative, self-regulatory and state matters, inspection and enforcement, and overall Division policy.
- 1982 New York
- ASA Gold and Precious Metals Limited (Independent Director, 2014-Present)
- American Bar Association, Business Law Section, Federal Regulation of Securities Committee and subcommittees
- Mutual Fund Directors Forum, Advisory Board
- New York City Bar Association; Affiliate Member, Investment Management Regulation Committee (2020-2021 term; Member several prior terms since committee inception)
- Roger Williams University Law School (Adjunct Professor 2009, 2010, 2013, 2014)
- Securities Industry and Financial Markets Association, Compliance and Legal Division
- 2009-2010 Counsel, SNR Denton LLP (previously Sonnenschein Nath & Rosenthal LLP), New York, New York
- 2004-2007 Independent Fund Chief Compliance Officer, Bank of America NA, Boston, Massachusetts and New York, New York
- 1999-2004 Partner, Carter Ledyard & Milburn LLP (Counsel 1999-2000), New York, New York
- 1998-1999 Vice President and Counsel, Equitable Life Assurance Society of the United States, New York, New York
- 1994-1998 Divisional Senior Vice President, Financial Institutions and Governmental Affairs, AIG Technical Services Inc., New York, New York
- 1988-1994 General Counsel, Mitchell Hutchins Asset Management Inc., subsidiary of PaineWebber Incorporated, New York, New York
- 1985-1988 Deputy Director (Associate Director 1985-1986), Division of Investment Management, Securities and Exchange Commission, Washington, D.C.
- 1981-1985 Senior Associate, corporate, securities, bankruptcy practice at Greenbaum, Wolff & Ernst, continued at Rosenman & Colin, LLP, New York, New York, following liquidation of the Greenbaum firm in 1982.
- 1976-1981 Associate bankrutcy and litigation at Paul Landy Beiley & Yacos, PA, (1976-1978) Blackwell, Walker, Gray, Powers, Flick and Hoehl, Miami, Florida (1978-1981).
- 1975-1976 Law Clerk, The Honorable W.O. Mehrtens, United States District Court, Southern District of Florida, Miami, Florida
- B.A., 1970 Seattle University (English)
- J.D., 1975 University of Notre Dame School of Law