Mary Joan Hoene

Mary Joan Hoene is a securities lawyer with a specialty in investment management law and regulation. She works with mutual funds, closed-end funds, hedge funds, exchange-traded funds, private funds, fund sponsors, broker-dealers, investment advisers, banks, insurance companies and the independent directors of investment companies. 

Ms. Hoene was previously a partner at Carter, Ledyard & Milburn LLP and has held senior roles in several financial institutions, including serving as independent fund chief compliance officer at Bank of America from 2004 - 2007, where she was responsible for establishing and defining the compliance program for four fund families aggregating more than $200 billion in assets, following the bank's merger with FleetBoston Financial Corp.

She also served as Deputy Director of the Securities and Exchange Commission's Division of Investment Management from 1986 - 1988 after joining the staff in 1985 as an Associate Director.  Her roles involved managing the disclosure, chief counsel, investment adviser and EDGAR pilot programs, and coordinating positions in legislative affairs, enforcement and policy. 

Ms. Hoene is a member of the New York Bar Association and a member of its Investment Management Regulation Committee. She is on the Advisory Board of the Mutual Fund Directors Forum, and a member of the SIMFA Compliance and Legal Society, the Women's Investment Management Forum, and the Business Law Section of the American Bar Association. As an adjunct professor at Roger Williams University Law School, she taught "Financial Market Panics and the Regulatory Response" during the 2009 and 2101 Fall Terms. She speaks regularly at investment management industry events and conferences.