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Glen Payne specializes in corporate, securities, financial services and investment management law, including public and private offerings of debt and equity securities, business formation and financing, venture capital transactions, broker-dealer and investment adviser representation, corporate governance and compliance examinations and investigations, mutual fund and hedge fund representation, SEC and State Regulatory Agency representation, and securities filings and periodic reporting.
Glen’s 35 years of legal experience encompass private law practice at Jones & Keller, servicing as Senior Vice president and General Counsel for INVESCO Funds Group, Inc., a major investment advisory firm and sponsor of the INVESCO group of mutual funds, and service in senior management and legal positions in the Divisions of Corporation Finance and Investment Management of the U.S. Securities and Exchange Commission.
In addition to his legal work, Glen is an avid golfer and coin numismatist.
Experience
From April, 2005 to the Present, Glen has been Of Counsel with Jones & Keller, P.C. While at Jones & Keller, Glen has worked on both public and private securities offerings, and provided legal advice and representation to broker-dealers and investment advisers in the Denver area. He has represented mutual funds, including American Growth Fund, and hedge funds before the SEC and the Colorado Division of Securities. Glen has also assisted clients in forming corporations and limited liability companies and in finding initial financing. He has also performed internal regulatory compliance examinations for broker-dealer and investment adviser clients. Furthermore, Glen has provided legal advice to boards of directors and board committees.
From May, 1989, until January 1, 2004, when the Legal/Compliance Department of INVESCO Funds Group, Inc. (IFG) in Denver, Colorado, was moved out to Denver, Glen was a Vice President (then Senior Vice President), Secretary and General Counsel of IFG and a Global Partner of IFG’s corporate parent, AMVESCAP, PLC. In this position Glen was responsible for providing, either internally or through outside counsel, all required legal services to ensure successful operation of IFG’s investment advisory business, including the INVESCO Group of Mutual Funds. A major part of his job involved Glen being responsible for putting in place, and then monitoring, effective compliance programs and procedures for IFG. Glen was also responsible for ensuring that IFG’s wholly-owned subsidiary state chartered trust company (INVESCO Trust Company) was in compliance with the requirements of the Colorado Trust Company Act.
From July, 1973, to May, 1989, Glen was an attorney on the staff of the U.S. Securities and Exchange Commission. While on the SEC Staff, Glen served in senior management and legal positions in both the Divisions of Corporation Finance and Investment Management. During his time on the SEC Staff, among other duties, Glen reviewed and commented on draft mutual fund prospectuses and was responsible for determining the SEC Staff’s position on applications seeking exemptions from provisions of the Investment Company and Investment Advisers Acts of 1940. His work at the SEC also involved participation in several major rulemaking projects and other regulatory initiatives to deal with issues facing the investment company and investment adviser industries. This work permitted Glen to develop an expertise in interpreting and applying the requirements of the federal securities law and regulations as they related to investment companies, investment advisors, hedge funds, and broker-dealers. | 