Fabio Battaglia focuses his practice on counseling investment companies and investment advisers in connection with various regulatory, compliance and transactional issues.
Mr. Battaglia counsels clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; and the drafting of compliance procedures and corporate policies. He also has extensive experience dealing with multi-manager and sub-advised mutual funds, exchange-traded funds and closed-end funds.
Examples of the types of matters on which Mr. Battaglia has assisted clients include:
- advising fund boards of directors on governance matters
- counseling clients on the development of new products
- preparing requests for SEC interpretive and "no-action" letters
- obtaining SEC exemptive orders
Mr. Battaglia was recommended for his work in the area of mutual/registered funds in The Legal 500 U.S. 2014. He is a frequent speaker on several topics relating to investment companies, including regulatory compliance, fund governance and the regulation of exchange-traded funds.
While pursuing his J.D. at Villanova University School of Law, Mr. Battaglia worked in the legal advisory department of Merrill Lynch Investment Managers. While there, his responsibilities included researching issues arising under federal securities laws and preparing documents in connection with the organization and registration of investment companies.