Alan R. Gedrich

Alan Gedrich

Overview

Alan Gedrich represents open and closed-end investment companies, ETFs, registered investment advisors, hedge funds, independent trustees of mutual funds, and investors in private and public funds. His practice also includes mergers and acquisitions of registered investment advisers and change of control transactions, public and private securities offerings, and general corporate work for businesses and not-for-profit organizations.

Prior to attending law school, Alan was employed by Coopers & Lybrand, CPAs (now PricewaterhouseCoopers, LLP) and earned his Certified Public Accountant (CPA) designation in Pennsylvania.

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Results

Representative Matters

  • counseled investment companies and their board regarding governance and compliance matters
  • represented offshore and U.S. hedge funds, including those funds which accept only insurance company separate accounts
  • assisted various investment advisory firms in connection with compliance issues, such as asset segregation matters, FINRA matters, investments in ETFs and issues relating to the employment of key personnel
  • represented a recently formed investment advisory firm in connection with the formation and launch of a suite of actively managed exchange traded funds on the BATS Exchange
  • obtained no-action relief from the Securities and Exchange Commission with respect to the first syndicated unsecured credit facility for U.S. and offshore mutual funds
  • represented a large mutual fund complex with the negotiation and documentation relating to the transition from its existing custodian to a new custodian
  • served as U.S. counsel for a U.K.-based investment advisory firm specializing in frontier markets with respect to compliance matters for its U.S. registration under the Investment Advisers Act of 1940 and a private fund domiciled in the U.S.
  • represented a publicly traded multi-manager investment advisory firm in connection with the IPO of a closed end income fund listed on the NYSE Euronext
  • engaged by the State of Hawaii to represent it in connection with a legal settlement involving approximately $850 million in auction rate securities (ARPs) with a major Wall Street brokerage firm
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Credentials

Bar Admissions
  • New Jersey
  • Pennsylvania
Court Admissions
  • U.S. District Court for the Eastern District of Pennsylvania
  • U.S. District Court for the District of New Jersey
  • Pennsylvania Supreme Court
  • New Jersey Supreme Court
Education
  • J.D., University of Pittsburgh School of Law
  • B.S., Pennsylvania State University
  • International Business Program, University of Cologne, Germany
Memberships

  • Board of Trustees of AIM Academy
  • Former Chair, Budget & Finance Committee, Penn State University Alumni Council
  • Former Member of the Executive Committee, Penn State University Alumni Council
  • Former President, Smeal College Alumni Society, The Pennsylvania State University
  • Former Trustee, Board of Trustees, Walnut Street Theatre Corporation

Publications

Speaking Engagements

  • Panelist, “Conflict or Accord: Coming to Grips with Conflicts of Interest,” Financial Research Associates
  • Panelist, “Liquid Alts Regulatory Update – What’s on the Regulators’ Radar?” Financial Research Association Liquid Alts Conference
  • Panelist, “Industry Developments Panel,” 2014 Ultimus Fund Solutions Client Summit
  • Chair and Speaker, “Understanding Legal and Compliance Aspects of Launching and Operating a Liquid Alternative Fund,” Financial Research Associates’ Establishing a ’40 Act Alternative Fund Conference
  • Speaker, “Conducting the Annual Compliance Program Review,” ACA Compliance Group Spring 2014 Compliance Conference
  • Speaker, “Initial Approval and Renewal of Sub-Advisory Agreements: What Should Funds be Looking for and What Should Sub-Advisors be Attentive To,” Financial Research Associates 15th Annual Sub-Advised Funds Forum
  • Panelist, “Developing and Maintaining an Effective Compliance Program,” ACA Compliance Group Fall 2013 Compliance Conference
  • Speaker, “Recent Regulatory Developments for Investment Advisors and What’s to Come for Investment Advisors,” Chartered Financial Analysts Society of Philadelphia
  • Moderator, J.P. Morgan Global Fund Distribution Forum
  • Speaker, “Dodd-Frank One Year Later: Recent Regulatory Developments for Investment Advisers,” Chartered Financial Analysts Society of Philadelphia
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Recognition

  • Chambers USA: America’s Leading Lawyers for Business, ranked nationwide for hedge funds
  • Penn State Alumni Association Award, for his commitment, leadership and service to the Penn State Alumni Association 
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In The Community

Alan is an enthusiastic supporter of educational institutions and the arts. Presently, Alan serves on the board of trustees of AIM Academy, a private college preparatory school for children with learning differences. For many years, Alan also served in leadership roles for The Penn State Alumni Association and as board member and president of the Smeal College of Business Alumni Society. Additionally, he also served as a member of the board of directors of the Walnut Street Theatre, a large non-profit theater organization located in Philadelphia. Over the years, he also contributed his time to many varied not-for-profit organizations, including one which deliver food to elderly senior citizens from the former Soviet Union.

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