Head of legal for U.S. retail and institutional distribution and transfer agency matters.

Counsel open-end funds, exchange-traded funds and closed-end funds through registration process, launch and closing. Negotiate underwriting agreements for closed-end fund offerings. Extensive experience with alternative products including MLP and infrastructure products. Provide legal support to affiliated principal underwriter and internal transfer agent. Draft and negotiate financial support agreements, distribution agreements, shareholder services agreements and participation agreements. Negotiate all agreements in support of fund-of-funds structures sponsored by unaffiliated insurance companies. Provide entity support to registered investment companies including meetings of board of trustees and investor communications.

Specialized in the Investment Company Act of 1940, specifically open-end funds, closed-end funds and business development companies. Significant experience drafting and reviewing regulatory filings under the Investment Advisers Act of 1940, Securities Act of 1933 and the Securities Exchange Act of 1934. Counseled open-end funds, closed-end funds and business development companies during initial and secondary public offerings and with respect to equity, public debt, private debt, preferred shares, and rights offerings. Listed equity securities on the NYSE and NASDAQ; listed debt securities on the NYSE. Drafted and maintained shelf registration statements for closed-end funds and business development companies.