Partner
CurrentMy work includes:- Organizing/registering investment companies using a number of fund structures, including working with multiple class funds, master-feeder funds, multi-manager funds, money market funds, target date funds, and funds that serve as underlying investment vehicles for variable insurance products- Developing/reviewing compliance programs for investment advisers, investment companies, and their various service providers, and assisting in implementing new compliance programs and complying with regulatory requirements- Assisting investment companies and investment advisers in documenting selling arrangements, including negotiating dealer and solicitation agreements- Advising investment companies on proxy solicitations, including compliance with proxy rules under the Securities Exchange Act of 1934, and preparing proxy statements- Structuring/conducting due diligence for mergers and acquisitions of investment companies and investment advisory firms- Negotiating contracts with major fund service providers- Advising independent directors/trustees in annual review of advisory contracts and related matters- Developing governance programs for investment company boards, including reviews of board cmte charters- Advising independent directors/trustees on legal, governance and industry practice issues- Advising fund management on non-U.S. offerings of mutual fund shares - Advising clients on conflicts of interest, fiduciary matters, affiliated transactions, risk management and regulatory changes- Preparing/filing SEC no-action letter requests and exemptive applications, including applications relating to fund of fund structures, joint interfund lending and borrowing facilities, and manager-of-manager arrangements- Negotiating the resolution of SEC staff comments on exemptive applications and registration statements- Responding to regulatory issues raised by the SEC staff during inspections and examinations- Preparing comments on SEC rule-making
