We counsel investment companies on all aspects of the mutual fund business, including organizing and registering funds, assisting funds in creating and implementing compliance programs, and providing ongoing advice to funds, fund service providers and fund directors and trustees. Our practice spans the full range of investment company products and services, including open-end investment companies, closed-end interval funds, private label funds, broker-sold and no-load funds, funds supporting variable annuity and variable life insurance products, funds of funds and managed futures funds.
- 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.
SEC Proposes Mutual Fund and ETF Disclosure Amendments - Investment Management Update
September 25, 2020
SEC Proposes Updates to Rules Governing CEFs - Investment Management Update
July 18, 2019
SEC Adopts Safe Harbor Rule for Investment Fund Research Reports - Investment Management Update
December 19, 2018