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Helge Lee, a former senior executive and general counsel of several national and international mutual fund groups, advises mutual funds, investment advisers, independent directors and underwriters and selling brokers, and their respective legal and compliance staffs on all matters arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934. During a thirty-year legal career Helge has acted as principal counsel in SEC, NASD and DOL compliance examinations and enforcement actions, closed-end fund "strike suit" litigation and mergers and acquisitions of mutual fund complexes and investment advisers. He has also prepared and filed registration statements and exemptive applications, compiled and managed agendas for fund board meetings, advised fund directors, both interested and disinterested, and established and monitored compliance procedures relating to personal conduct and investment practices as well as substantive portfolio compliance. Helge brings a unique perspective to Godfrey & Kahn's Securities practice that is particularly relevant in today's turbulent, fast-changing environment. He has worked in the legal trenches from the inside of mutual fund groups in addition to acting as outside counsel. In so doing, he understands the delicate relationship between inside managers and the independent directors charged with oversight responsibility. With the recently increased regulatory emphasis on "independence" and substantive, not just procedural, compliance, Helge's background and experience enables him to frame issues and provide advice that allows industry participants to navigate an increasingly complex legal and regulatory landscape.
In the News
February 6, 2006 - Helge Lee was featured in, "Preserving Business Integrity." (M Magazine)
Admitted to Practice
Wisconsin - 1974
Professional Association Memberships
American Bar Association
Activities
Former Executive Vice President and COO of a business-to business financial services firm involved in the wholesale distribution of mutual funds globally utilizing Internet technology with responsibility for the management of all aspects of the company's operations, including product development and management, technology, operations and client support and legal compliance. Also managed the creation and staffing of an operations center in Dublin, Ireland; the licensing of the company as an "investment intermediary" with the Central Bank of Ireland; the establishment of a sales and implementation office in Paris, France and the receipt of necessary regulatory clearances from the Banque de France, the COB and the CMF. Former Senior Vice President, General Counsel and Secretary of a publicly-held investment manager, including domestic and international debt and equity funds sold through a proprietary sales force, with responsibility for the management of the legal and compliance functions, including mutual fund disclosure, compliance and administration, broker/dealer compliance and administration and representation of the public company with respect to its general corporate affairs. Former Executive Vice President, Secretary and Chief Compliance Officer with respect to all North American business activities of the Asset Management Division of Liechtenstein Global Trust including the management of the legal and compliance functions of the North American retail and institutional businesses of the Asset Management Division. Also served as Legal Counsel and Compliance Director for the Asset Management Division with responsibility for the global management of the Division's legal and compliance functions. Former Senior Vice President, General Counsel and Secretary of a no-load mutual fund group, including domestic and international debt and equity funds, with responsibility for the management of all of its legal and compliance functions thereof.
Helge has participated in a number of continuing legal education seminars and programs on securities and investment company matters sponsored by local and national organizations.
Education
Juris Doctor, University of Wisconsin Law School, 1974, cum laude, Order of the Coif
Doctoral Studies, University of California (Berkeley), 1969
Bachelor of Arts, Northern Illinois University, 1968, History, with honors, Phi Alpha Theta.
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