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lender financing and capital marketss


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.
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