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1 Jeffrey S. Puretz Retired Partner Washington, D.C K Street, NW, Washington, DC, United States of America T F jeffrey.puretz@dechert.com Practice Areas Financial Services and Investment Management > Investment Funds and Investment Companies > Investment Funds: U.S. > Variable Insurance Products > Investment Advisers > Mutual Funds > Regulatory Compliance > Jeffrey S. Puretz is a practice group leader in Dechert s financial services group who has 35 years of experience. He concentrates on investment management matters for mutual funds, mutual fund boards, investment advisers, and insurance companies, and he is responsible for the group s services in the insurance sector. Prior to joining Dechert, Mr. Puretz worked as a staff attorney with the SEC's Division of Investment Management. Mr. Puretz has been designated as one of a handful of leading lawyers for investment management since 2004 by Chambers USA, which recently referred to him as the firm's leading light for insurance companies active in the registered funds space. They also note that because he came from the SEC he has a lot of insight into how regulators think, and can provide a useful perspective of business choices through a regulatory lens. Past editions have praised his deep expertise in the registered funds field, as well as his good judgment and boardroom presence. He is distinguished in particular for his leadership and accomplishments in the insurance sector. They state that he is a thoughtful and experienced practitioner with a great deal of experience working on some of the most complex fund structures in the field. They have recognized his ability to structure deals in a way in which everyone wins and his knowledge of every possible issue out there. Mr. Puretz has also been included in The Best Lawyers in America in the specialty of mutual funds law since 2007 and has been recognized in The Legal 500 (US), which recently stated that he attracts strong praise for his analysis of issues and practical guidance. He has lectured and written extensively about mutual funds and variable annuities. He has been widely quoted in the financial press, and his work has

2 been cited by the SEC. He has served on drafting committees for several white papers published by the Mutual Fund Directors Forum. Mr. Puretz was the co-founder and co-chair of the Practising Law Institute's conference on " Understanding Securities Products of Insurance Companies," which ran from He has also been a regular panelist on mutual fund developments at the ALI-CLE Conference on Life Insurance Company Products. Mr. Puretz is also a regular panelist on new developments in securities laws at conferences of the American Council of Life Insurers and the Insured Retirement Institute, among others. His written work has been cited by the SEC and by the courts. EDUCATION University of Maryland, B.A., 1976 The Catholic University of America, Columbus School of Law, J.D., 1981 Georgetown University Law Center, Graduate course work in securities law ADMISSIONS District of Columbia MEMBERSHIPS Consulting Board, Board IQ Advisory Board, Mutual Fund Directors Forum Regulatory Affairs Committee, Insured Retirement Institute Member and Former Chair, Securities Section, Association of Life Insurance Counsel Adjunct Professor, Catholic University Law School, Securities Institute for the course " Mutual Funds and Investment Advisers" Board of Visitors, Catholic University Law School Board of Governors, Hebrew Home of Greater Washington

3 SPEAKING ENGAGEMENTS Action 18, Washington Presented by the Insured Retirement Institute, D.C. (May 11, 2018) Participant, "Federal Regulatory Trends Affecting Variable Products and Underlying Funds " breakout session. Mutual Funds and Advisers: Key Regulatory and Litigation Developments ALI CLE's Life Insurance Company Products 2017, Washington, D.C. (November 3, 2017) Speaker, panel on regulatory and other developments affecting mutual funds and advisers, including the recent decisions in AXA and Hartford alleging excessive fees." Lessons from the Front Lines of Federal Regulation American Council of Life Insurers Annual Conference, Orlando, FL (October 10, 2017) Speaker, Lessons from the Front Lines of Federal Regulation" a panel on topics that have the potential to impact federally-regulated entities. Legal/Compliance Lessons from the Front Lines of Federal Regulation American Council of Life Insurers Annual Conference, Orlando, FL (October 10, 2017) Moderator, Legal/Compliance Lessons from the Front Lines of Federal Regulation a panel on developments regarding federally-regulated entities, such as investment advisers, mutual funds, broker-dealers and SIFIs. Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds IRI's Government, Legal & Regulatory Conference 2017, Washington, D.C. (June 13, 2017) Moderator, Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds. DOL Update The Association of Life Insurance Counsel Annual Meeting, Miami, FL ( May 1, 2017) Speaker, DOL Update a panel on the status of the DOL fiduciary rule and a brief update on the pending litigation. IC Investment Company Compliance: Beyond the Basics NSCP National Conference, Washington, D.C. (October 18, 2016) Speaker, IC Investment Company Compliance: Beyond the Basics." 2016 Regional Insurance Counsel Roundtable Presented by the Association of Life Insurance Counsel, Washington, D.C. (September 22, 2016) Moderator, roundtable discussion on the Department of Labor (DOL) Fiduciary Duty Rule Future State.

4 Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds IRI Government Legal & Regulatory Conference 2016, Washington, D.C. (June 7, 2016) Speaker, Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds. Regulatory Initiatives Affecting Mutual Funds The Association of Life Insurance Counsel Annual Meeting, Colorado Springs, CO (May 17, 2016) Speaker, "Regulatory Initiatives Affecting Mutual Funds" a panel on the SEC s liquidity management proposals for mutual funds and challenges in coping with money market fund reform. Life Insurance Company Products 2015 Sponsored by ALI-CLE, Washington, DC ( November 2, 2015) Speaker, panel on regulatory compliance examination priorities. Broker Dealers and Investment Advisers Emerging Challenges and Opportunities The Association of Life Insurance Counsel Annual Meeting, Palm Beach, FL (May 18, 2015) Speaker, panel on the challenges and opportunities for broker dealers and investment advisers. Setting the Fund Menu in Today's Regulatory Climate ACLI Annual Conference 2014, Washington, D.C. (October 20, 2014) Speaker, panel on major regulatory and litigation developments that could affect the fund menu for variable products. New York Has an Axe to Grind and Plaintiffs Try to Axe Fees American Council of Life Insurers Compliance & Legal Sections Annual Meeting, Ft. Lauderdale, FL (July 27, 2014) Significant Mutual Fund and Investment Adviser Developments ALI CLE Conference on Life Insurance Company Products, Washington, D.C. (November 14, 2013 ) Hot Issues in Federal Regulation and Litigation American Council of Life Insurers Annual Conference, New Orleans, LA (October 27, 2013) Hot Issues in Federal Regulation and Litigation American Council of Life Insurers Compliance & Legal Sections Annual Meeting, Orlando, FL (July 17, 2013) Conference on Life Insurance Company Products ALI-CLE Conference on Life Insurance Company Products, Washington, D.C. (October 31, 2012) Washington Regulatory Review American Council of Life Insurers Annual Conference, Washington, D.C. (October 21, 2012) Host, Washington Regulatory Review" a panel on the implications for life insurers of: developments at the SEC, swaps reform, the CFTC s expansion of its jurisdiction, and preparing for the Financial Stability Oversight Council s designation of systemically important financial institutions.

5 Product Developments: Legal and Regulatory Challenges Insured Retirement Institute's 2012 Government, Legal & Regulatory Conference, Washington, D.C. (June 26, 2012) Dodd-Frank's Creation of a New Federal Insurance Office: Implications for the Federalization of Insurance Regulation Practising Law Institute's Conference on Securities Products of Insurance Companies and Evolving Regulatory Reform, New York, NY (January 25, 2012) Underlying Mutual Funds Practising Law Institute's Conference on Securities Products of Insurance Companies and Evolving Regulatory Reform, New York, NY ( January 25, 2012) Regulatory/Dodd Frank/NAIC Update American Council of Life Insurers Senior Investment Managers Seminar, Ft. Lauderdale, FL (November 6, 2011) Dodd-Frank Implementation American Council of Life Insurers Annual Conference, Orlando, FL (October 17, 2011) Board Approaches to Overseeing Performance Mutual Fund Directors Forum Policy Conference, Washington, DC (April 28, 2011) SEC Issues Roundtable The Spark Institute, Washington Leadership Series Meeting, (March 31, 2011) Underlying Mutual Funds Practising Law Institute's Conference on Securities Products of Insurance Companies in the Face of Regulatory Reform, New York, NY ( January 28, 2011) New Developments for Investment Advisers and New Developments in Derivatives Disclosure for Investment Companies ALI-ABA Conference on Life Insurance Company Products, Washington, DC (October 29, 2010) Update on Developments for Investment Advisers ALI-ABA Conference on Life Insurance Company Products, Washington, DC (October 29, 2010) Target Date Funds NY '40 Act Committee, New York, NY (October 12, 2010) Underlying Mutual Funds Practicing Law Institute's Conference on Securities Products of Insurance Companies in the Face of Regulatory Reform, New York, NY ( January 29, 2010) Jones v. Harris: The Supreme Court Weighs in on Section 36(b) ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. (November 5, 2009) Securities Products of Insurance Companies, New York, NY (January 4, 2009) Current Disclosure Issues and Reform Initiatives: Short-Form Prospectuses, XBRL, Electronic Delivery, and Proposed 1934 Act Exemptive Rule ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 13, 2008) Securities Regulation: A Technician's Perspective American Council of Life Insurers Annual Conference, Boston, MA (October 21, 2008) SEC Asks Santa for Indexed Annuities 40 Acts Committee/ 40 Acts Committee Luncheon, New York, NY (October 6, 2008) Securities Products of Insurance Companies, New York, NY (January 7, 2008) Revenue Sharing: Regulatory Developments and Litigation ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. (November 8, 2007) Regulatory and Litigation Developments Related to Fee Revenue Sharing Arrangements The Association of Life Insurance Counsel Annual Meeting, San Diego, CA (May 7, 2007) Securities Products of Insurance Companies, New York, NY (January 9, 2007)

6 Recent Developments for Mutual Funds and Fund Advisers ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 16, 2006) Focus on Insurance Products Dechert's Financial Services Breakfast Briefing at the Annual ICI Mutual Fund Conference,(March 1, 2006) Securities Products of Insurance Companies, New York City, NY (January 9, 2006) Asset Allocation Programs: The SECuel ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 3, 2005) Soft Dollar Recommendations Mutual Fund Directors Forum Annual Policy Conference, Washington, DC (February 16, 2005) Securities Products of Insurance Companies, New York, NY (January 10, 2005) Fund Governance Under Scrutiny: Debating Best Practices Mutual Fund Directors Forum, New York, NY (December 9, 2004) Asset Allocation Programs ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 4, 2004) Late Trading and Market Timing Abuses: Solutions American Council of Life Insurers Annual Conference, Chicago, IL (October 10, 2004) Asset Allocation Regulatory Affairs Conference, The Dawning of a New Era in the Industry: Will You Be Prepared?, Washington, DC (June 14, 2004) Securities Products of Insurance Companies, New York, NY (January 26, 2004) I nsurance Products as Securities ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 20, 2003) Recent Developments in Variable Insurance Products, Underlying Funds and Legislation ALI-ABA Conference on Life Insurance Company Products, Washington, DC (November 20, 2003) Regulatory Hurdles of Mutual Funds vs. Variable Contracts Association of Life Insurance Counsel Annual Meeting, White Sulphur Springs, WV (May 19, 2003) Insurance Products as Securities Practising Law Institute's Understanding Securities Products of Insurance Companies, New York, NY (January 10, 2002) Variable Product Disclosure Developments ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. (October 25, 2001) What's New in Mutual Funds ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. (October 19, 2000)

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