- 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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- 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 Proposes New Rule for Fund of Funds Arrangements,
Investment Management Update, January 7, 2019