Kevin Gustafson

at Independent ETFs expert

Speaker

With over 30 years in the legal and financial industry, Kevin Gustafson is a highly experienced financial services, fund product and regulatory consultant. uOver his career, Kevin has been responsible for the exchange listing of more than 250 exchange-listed products across the US, Canada and Europe. His expertise includes US regulatory issues related to investment management, fund structure and formation, governance, exchange listing and trading, market distribution, and advisory registration and compliance matters applicable to both US and non-US domiciled firms.

A licensed attorney, Kevin practiced law for over a decade with several private law firms in Chicago, including Mayer Brown. In 2004, Kevin joined PowerShares ETFs, the industry’s first smart beta ETF sponsor, as its General Counsel and Chief Compliance Officer. After Invesco Ltd. acquired PowerShares in 2006, Kevin led the regulatory and legal initiative to expand the ETFs’ global exchange listing and distribution for Invesco, including the launch of the Invesco UCITs ETF range.

Beginning in 2012, Kevin joined Prudential plc (ticker: PUK) as its Head of Legal & Chief Risk and Compliance Officer, Americas for its Eastspring Investments asset management division. Kevin was responsible for the design and oversight framework for Prudential’s Asia-based, non-US asset managers managing accounts and 40 Act products on the US, as well as the distribution of its UCITs and other managed financial products across the Americas.

Prior to his current consulting work, Kevin also served as the General Counsel and Chief Compliance Officer for Innovator ETFs, the industry’s first buffer ETF and defined-outcome ETF sponsor. At Innovator, Kevin launched over 80 ETFs, including the first ETFs approved by the SEC under Rule 18f-4 and under Rule 6c-11, and was responsible for SEC rules changes at the Cboe for in-kind delivery of options and price adjustments.

Based in the Chicago area, Kevin is a graduate of the UIC John Marshall Law School, and Wheaton College (IL).