Investment Companies/Mutual Funds

Representative Experience

• Counseling clients on structural options available when establishing a fund.
• Providing business planning advice.
• Preparing and filing registration statements with the SEC and organizational documents with state authorities.
• Providing marketing, advertising and distribution advice.
• Advising fund boards and/or independent directors/trustees on regulatory and corporate governance matters.
• Developing and implementing compliance programs and regulatory controls.
• Representing clients in mergers and acquisitions of investment companies, including assisting with due diligence.
• Providing advice on the creation of new products.
• Obtaining exemptive, no-action and similar relief from regulators.
• Drafting and negotiating agreements with fund service providers and intermediaries.
• Negotiating and evaluating investments in financial instruments, such as futures agreements, repurchase agreements, prime broker agreements, swaps and other derivatives.
• Preparing proxy statements, post-effective amendments and various other regulatory filings.
• Working with fund auditors, fund accountants and fund administrators.
• Counseling clients on regulatory and business developments.
• Responding to regulatory inquiries and assisting clients in preparing for and responding to regulatory examinations.
• Representing clients in enforcement matters.