Jamie M. Gershkow

Jamie Gershkow

Overview

Jamie Gershkow focuses her practice on advising investment companies and investment advisers. She frequently counsels on regulatory and compliance matters, the applicability and interpretation of securities laws, and the formation and management of registered investment companies, including multi-manager and sub-advised funds and exchange-traded funds (ETFs). Jamie also counsels on transactional matters, such as fund mergers and acquisitions. She also advises investment management clients with respect to Commodity Futures Trading Commission requirements and compliance. Her experience includes representing:

  • Registered Investment Companies. Jamie advises clients on the federal securities laws pertaining to the formation, registration and ongoing compliance of mutual funds and ETFs. She drafts and reviews critical documents, such as registration statements, proxy solicitation materials, information statements, shareholder reports, exemptive applications, compliance policies and procedures, and board meeting minutes and materials. Jamie assists ETF clients with all phases of the complex regulatory process required to introduce and operate index-based and actively managed ETFs. Jamie also assists in the preparation of N-14 registration statements in connection with fund mergers and acquisitions.
  • Investment Advisers. Jamie assists in counseling investment advisers with respect to their obligations under federal and state securities laws, including issues related to federal and state registration, compliance, Form ADV, and Form PF. She also drafts and reviews a variety of contracts for clients, including agreements between mutual funds and their investment advisers.
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Results

Representative Matters

  • assisted in representation of various investment advisers in obtaining ETF exemptive orders from the SEC, including both index and actively managed ETF exemptive orders
  • assisted in representation of various investment companies within the two large fund complexes in connection with the launch of new alternative strategy funds, including drafting and reviewing registration statements and preparing the corporate documentation necessary to launch the funds
  • assisted in preparing proxy solicitation materials in connection with a large financial services company’s agreement with an investment manager to acquire and reorganize 17 equity and bond mutual funds with $3.6 billion in assets into a mutual fund complex
  • assisted investment advisers and trust companies within a large asset management group with respect to compliance with various CPO and CTA exemptions and exclusions
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Credentials

Bar Admissions
  • New Jersey
  • Pennsylvania
Court Admissions
  • U.S. District Court for the Eastern District of Pennsylvania
  • Pennsylvania Supreme Court
Education
  • J.D., magna cum laude, Drexel University School of Law
  • B.A., magna cum laude, University of Maryland
Memberships

  • Philadelphia Bar Association, Young Lawyers Division
  • Investment Committee, Women Against Abuse

Speaking Engagements

  • Panelist, "YLD Bootcamp: Tactics, Tips and Tricks for Law Students and New Lawyers," Young Lawyers Division of the Philadelphia Bar Association
  • Panelist, “The Board as Springboard”
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In The Community

Jamie is a member of the investment and Dish It Up planning committees of Women Against Abuse, a nonprofit domestic violence advocate and service provider with a mission to provide services to persons experiencing intimate partner violence and to lead the struggle to end domestic violence through advocacy and community education.

Jamie has also completed the United Way of Greater Philadelphia and Southern New Jersey Young Leaders’ Board Orientation Program, a program designed to offer training to prepare young professionals for service on boards of nonprofit organizations. She currently serves as a fund reviewer for the United Way of Greater Philadelphia and Southern New Jersey’s Impact Fund.

Jamie also volunteers with NHS Human Services, a nonprofit human services organization dedicated to providing care and services to people with special needs.
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