Taylor Brody focuses her practice on counseling investment companies, boards of directors and investment advisers in connection with regulatory, compliance and transactional issues. She advises 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; the applicability and interpretation of federal and state securities laws; the drafting of compliance procedures and corporate policies; and various transactional matters, such as fund mergers and closed-end fund tender offers. Her experience includes representing:
- Registered Investment Companies. Taylor advises clients on the federal securities laws pertaining to the formation, registration and ongoing compliance of open-end and closed-end mutual funds, including money market funds, multi-manager funds and sub-advised funds. She drafts and reviews critical documents, such as registration statements on Form N-1A, Form N-2 and Form N-14; proxy statements and solicitation materials; information statements; shareholder reports; SEC no-action letters; and state law filings.
- Investment Advisers. Taylor participates in counseling investment advisers with respect to their obligations under federal and state securities laws. She also assists in the representation of investment management clients undertaking a corporate merger, acquisition or reorganization.
- Boards of Directors. Taylor assists in advising boards of directors on issues arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as various corporate governance issues.