Anthony Coletta assists in the representation of clients in the asset management industry, including registered investment companies, investment advisers, commodity pool operators (CPOs) and commodity trading advisors (CTAs). He frequently counsels on the applicability and interpretation of federal securities and commodities laws. His experience includes representing:
- Registered Investment Companies: Anthony advises clients on the federal securities laws pertaining to the organization and registration of investment companies, including issues specific to funds of funds. He drafts and reviews critical documentation, such as registration statements, proxy solicitation materials, information statements, shareholder reports, investment adviser registration materials and compliance policies and procedures, and drafts no-action requests and exemptive applications. Anthony also provides advice regarding the use of derivatives by registered investment companies.
- Investment Advisers: Anthony participates in counseling investment advisers with respect to their obligations under the securities and commodities laws, including issues related to registration, compliance and annual Form ADV review. Anthony also assists in drafting and negotiating advisory agreements.
- CPOs and CTAs: Anthony works with exempt and registered CPOs and CTAs with respect to registration, disclosure and compliance issues. He regularly provides advice regarding the potential availability of exemptions or other relief from various requirements, and drafts no-action requests on behalf of clients. Anthony assists registered CPOs with filing Form CPO-PQR. He also actively participates in key CFTC rulemakings affecting clients (e.g., harmonization rules).