Clients and colleagues say I’m very good at putting projects together. I determine how to gather essential information, assess it, and work with the people around me to address issues and solve problems. I excel at identifying what my clients want, plotting a path with them, staying flexible and calm. My reputation as someone with personal integrity and a sense of independence allows me to view situations realistically, clearly, and fairly.
Widely recognized for delivering high-quality legal service, securities and investment management attorney Mary Joan Hoene brings diverse knowledge of the financial services industry to clients. With a strong chain of experience in the business, government, and legal worlds, Mary Joan uses these perspectives to help clients navigate business, regulatory and enforcement issues. She has particular familiarity with the Investment Company and Investment Advisers Acts of 1940.
Collaborating closely with clients and professional teams, Mary Joan counsels fund sponsors, investment advisers, broker-dealers, commodity trading advisors, ETFs, registered and private funds, banks, insurance companies, and the independent directors of investment companies.
Previously Mary Joan held senior positions with several financial service institutions, including 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.
Mary Joan served as the first Deputy Director of the Securities and Exchange Commission’s Division of Investment Management, where she oversaw the disclosure, chief counsel, investment adviser and EDGAR pilot programs, and coordinated policy positions in legislative, self-regulatory and state matters, inspection and enforcement, and overall division policy.
This rich background provides Mary Joan with a broad and deep perspective that enhances her ability to serve clients.