Gerald Cummins

Mr. Cummins has served as Chief Compliance Officer since June 2015 pursuant to an agreement between Oxford Funds and Alaric Compliance Services, LLC (“Alaric”), a compliance consulting firm. Mr. Cummins currently serves as the Chief Compliance Officer of Oxford Funds, LLC, Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Lane Capital Corp., Oxford Lane Management, LLC, and Oxford Gate Management, LLC. Mr. Cummins has been a director of Alaric since June 2014 and in that capacity, he also serves as the Chief Compliance Officer of a private equity firm. Prior to joining Alaric, Mr. Cummins was a consultant for Barclays Capital Inc. from 2012 to 2013, where he participated in numerous compliance projects on pricing and valuation, compliance assessments, and compliance policy and procedure development. Prior to his consulting work at Barclays, Mr. Cummins was 2010 to 2011 the COO and the CCO for BroadArch Capital from 2009 to 2011 the CFO and CCO of its predecessor New Castle Funds, a long-short equity asset manager. Prior to that, Mr. Cummins spent 25 years at Bear Stearns Asset Management, where he was a Managing Director and held senior compliance, controllers, and operations risk positions. Mr. Cummins graduated with a B.A. in Mathematics from Fordham University.