EFTA Document EFTA01851889

Lawyers : Morgan. Lewis & Bockius - an international law firm Page 1 of 2 Morgan Lewis practice areas Tax Tax-Exempt Organizations Tax Controversy & Litigation Anti-Money Laundering Business & Finance Life Sciences Healthcare Washington Strategic Government Relations and Counseling Life Sciences and Healthcare bar admissions District of Columbia Celia Roady partner Email: Washington. D.C. 1111 Pennsylvania Ave.. NW Washington. DC 20004-2541 Celia Roady is a partner in Morgan Lewis's Tax Practice. Ms. Roady focuses her practice on tax and governance issues affecting tax-exempt organizations, including charities, foundations, colleges and universities, museums, and other nonprofit organizations. She was appointed by the Internal Revenue Service to be a member of its Advisory Committee on Tax- Exempt and Government Entities for 2010-2013. She has also been named by Legal Times as one of Washington, D.C.'s leading lawyers" in the tax field and is listed in Chambers USA: America's Leading Lawyers for Business (2005-2014) and The Best Lawyers in America (2007-2014). Ms. Roady has published extensively in various journals on exempt organizations. She chairs the annual conference on Representing and Managing Tax-Exempt Organizations," sponsored by the Georgetown University Law Center. She also is a frequent speaker for the American Bar Association (ABA), American Law Institute, and other nonprofit conferences and symposia. In 2004-2005, Ms. Roady served on the Governance Work Group of the Panel on the Nonprofit Sector, which was convened by Independent Sector to provide comments to the Senate Finance Committee. Active in professional organizations. Ms. Roady is a fellow with the American College of Tax Counsel. She has served a two-year term as vice chair of communications for the ABA Section on Taxation and is a former ABA Tax Section council member and former chair of the Exempt Organizations Committee. Ms. Roady has also served as chair of the Exempt Organizations Committee of the District of Columbia Bar Association Tax Section, chair of the D.C. Bar's Council on Sections. and member of the Steering Committee of the D.C. Bar Tax Section. Ms. Roady is admitted to practice in the District of Columbia. honors + affiliations Listed, Washington, D.C.'s Leading Lawyers for Tax, The Legal Times (2005) Listed. Chambers USA: America's Leading Lawyers for Business (2005-2014) Listed. Washingtonian magazine 'Best Lawyers" (2013-2014) Listed. Legal 500 Leading Not-for-Profit Lawyers (2012-2013) Listed. The Best Lawyers in America (2007-2014) Listed. Washington. D.C. Super Lawyers (2006-2014) Listed. "Top 50 Women Lawyers in Washington. D.C." by Super Lawyers (2007 - 2008) Fellow. American College of Tax Counsel; Member, Board of Regents, American College of Tax Counsel (2008-2013) Member, IRS Advisory Committee on Tax-Exempt and Government Entities (2010 - 2013) Imp://www.morganlewis.com/index.cfm/fuseaction/people.print/person1D/659f988d-4670-... 7/28/2014 EFTA R1_00240137 EFTA01851889 Lawyers : Morgan. Lewis & Bockius - an international law firm Page 2 of 2 Member, Governance Work Group, Panel on the Nonprofit Sector (2004-2005) Former Vice Chair • Communications. American Bar Association Taxation Section Former Council Member, American Bar Association Taxation Section Former Chair, Exempt Organizations Committee, American Bar Association Taxation Section Former Chair, Council on Sections, District of Columbia Bar Association Former Chair, Exempt Organizations Committee, District of Columbia Bar Association Tax Section education Georgetown University LAW Center. 1979, LL.M. Duke University School of Law, 1976, J.D. Duke University, 1973, A.B. http://www.morganlewis.com/index.cfm/fuseaction/people.print/person1D/659f988d-4670-... 7/28/2014 EFTA R1_00248138 EFTA01851890 Lawyers : Morgan. Lewis & Bockius - an international law firm Page 1 of 1 Morgan Lewis practice areas Business 8 Finance Securities Industry Going Private Transactions Public Companies Private Offerings Public Offerings Securities Regulation Corporate Governance Latin America Washington Strategic Government Relations and Counseling Financial Services Broker-Dealers bar admissions District of Columbia New York David A. Sirignano panne; Email: Washington. D.C. 1111 Pennsylvania Ave.. NW Washington. DC 20004-2541 United States of America David A. Sirignano is a partner in Morgan Lewis's Securities Practice. Mr. Sirignano focuses on international and domestic corporate finance, structured finance, mergers and acquisitions, and SEC regulation. He is co- head of the firm's Securities Practice. Before joining the firm in Washington, he was Associate Director for International Corporate Finance in the SEC's Division of Corporation Finance. In that position, he developed SEC policy on cross-border offerings, acquisitions and listings, including offshore Internet offerings, international disclosure and accounting standards, as well as international corporate governance guidelines. He also advised the SEC and its Division of Enforcement on financial fraud cases and cross-border offering abuses. Previously, Mr. Sirignano served as the SEC Senior Legal Advisor to the Director of the Division of Corporation Finance, and as Staff Director of the Advisory Committee on Capital Formation and Regulatory Processes. He also was Chief of the Division's Office of Tender Offers, administering rules on mergers and acquisitions, going private transactions and proxy contests. Mr. Sirignano is vice-chair of the ABA Federal Regulation of Securities Committee and a former chair of the ABA Subcommittee on Corporate Disclosure. He has also served as a member of the FINRA Corporate Financing Committee. Mr. Sirignano is a frequent speaker at seminars, conferences and continuing legal education programs on international finance, Internet securities issues, corporate governance, mergers, acquisitions. restructurings and proxy contests. Mr. Sirignano was an adjunct professor at Georgetown University Law Center, where he taught a course on mergers and acquisitions. Mr. Sirignano is admitted to practice in the District of Columbia and New York. honors + affiliations Former Chair, Subcommittee on Public Company Disclosure and Continuous Reporting, Federal Regulation of Securities Committee (2001-2006) Member, American Bar Association Listed, The Best Lawyers in America (2006-2011) Thompson Reuters DC Super Lawyer for Securities and Corporate Finance (2013 -2014) education Union University, Albany Law School, 1978, J.D. Manhattan College, 1975, BA. http://www.morganlewis.com/index.cfm/fuseaction/people.print/person1D/7960f663-a430-... 7/28/2014 EFTA R1_00248139 EFTA01851891 Lawyers : Morgan, Lewis & Bockius - an international law firm Page I of 2 1O1'(4.111 I (:\\, practice areas Investment Management Securities Industry Broker-Dealers Compliance & Investment Management Registered Investment Companies Wrap Fee Sponsors Investment Advisers Broker-Dealer & Capital Markets Regulation Private Investment Funds Exchange Traded Funds Privacy Financial Services Advertising, Consumer Protection. & Privacy Collective Investment Trusts Bank & Financial Services Regulatory bar admissions District of Columbia Steven W. Stone partner Email: Washington. D.C. 1111 Pennsylvania Ave., NW Washington, DC 20004-2541 Steven W. Stone is the leader of Morgan Lewis's Investment Management Practice Group. He is a member of the firm's Advisory Board and has also served as the Managing Partner of the firm's Washington, D.C. office. Mr. Stones practice focuses on broker-dealer and investment manager regulation and enforcement defense and regulation of the capital markets. Mr. Stone has a broad background in broker-dealer and investment management regulation, representing major investment banks, broker-dealers and investment managers in a wide range of matters. Mr. Stone counsels clients on a wide variety of regulatory and transactional matters, including development of innovative products and services; regulation and operation of separately managed account (or wrap fee) programs and hedge funds; trading issues affecting both broker-dealers and investment advisers; soft dollar arrangements; SEC, FINRA and state investigations, and enforcement actions; mergers and acquisitions and joint ventures involving broker-dealers and investment advisers; interpretive and "no-action" letter requests; insider trading issues; and related matters. Mr. Stone is listed in The US Legal 500 and Chambers USA: America's Leading Lawyers for Business. Mr. Stone has been named by Chambers as one of the leading U.S. lawyers for investment management and broker- dealer law and was recognized as "one of the best in the field." Mr. Stone is admitted to practice in the District of Columbia. practice accolades Investment Management Ranked. National Tier 1: Securities/Capital Markets Law. U.S. News and Best Lawyers (2013) Ranked. Band 2: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2013) Ranked, Band 2: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2013) Ranked, Band 3: Investment Funds: Registered Funds in Chambers USA (2013) Private Investment Funds Ranked 'WI Most Active Law Firm* globally, based on the number of private equity funds worked on for limited and general partners, by Dow Jones Private Equity Analyst (2013) Ranked, National Tier 1: Private Funds/Hedge Funds Law. U.S. News and Best Lawyers (2013) honors + affiliations Listed. Chambers USA: America's Leading Lawyers for Business (2005-2014) htm://www.morgan lewis.com/index.cfm/fuseaction/people.print/person I D/d6ea8 f I e-354b-... 7/28/20 I 4 EFTA_R1_00246140 EFTA01851892 Lawyers : Morgan. Lewis & Bockius - an international law firm Page 2 of 2 Listed. Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009-2014) Listed. "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008) Listed. Washington, D.C. Super Lawyers (2008) Member, American Bar Association, Business Lew Section Editorial Board Member, Practical Compliance 8 Risk Management Advisory Board Member, Wall Street Lawyer 8 Journal of Performance Measurement Former Managing Editor, The George Washington Law Review Former Associate Editor. Consumer Protection Reporting Service education George Washington University National Law Center, 1988, J.D. Bates College, 1983, B.A. http://www.morganlewis.com/index.cfm/fuseaction/people.print/person1D/d6ea8fl e-354b-... 7/28/2014 EFTA R1_00246141 EFTA01851893