Cory Owen Hippler

Associate

chippler@stradley.com

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Cory Hippler

Overview

Cory Hippler focuses his practice on counseling registered investment companies, investment advisers and independent directors/trustees on a wide range of regulatory, compliance, operational and transactional matters. Cory’s practice includes assisting clients with the organization, registration and ongoing operations and compliance of open-end and closed-end funds (including multi-manager funds, master-feeder funds and interval funds); the preparation and review of regulatory filings, board materials and compliance policies and procedures; fiduciary oversight and fund governance issues; shareholder meetings and proxy solicitation materials; and various transactional matters, including reorganizations, mergers and acquisitions involving funds and investment advisers.

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Representative Matters

  • assisted in the representation of several leading global investment firms, including matters related specifically to the organization and registration of investment products, registration statement review and compliance, and the drafting of complex strategy and risk disclosure
  • assisted in the representation of a leading independent global investment management firm in connection with the client’s acquisition of more than 120 funds from a multinational financial services corporation, including reorganizations related to the rationalization of the product lineup
  • assisted with the reorganization of an open-end fund into a newly created fund on a different platform for purposes of lowering fund expenses and expanding distribution capabilities
  • prepared materials for shareholder meetings and related proxy solicitations, including multiple complex-wide shareholder meetings involving large fund complexes, and multiple fund reorganizations
  • assisted mutual funds and their independent directors in responding to regulatory issues raised by the SEC staff during examinations and investigations
  • advised an investment management firm in connection with the sale of its retail mutual fund business to two separate buyers, including the reorganizations of 18 funds into newly created or existing funds in the acquiring firms’ fund complexes
  • assisted in the representation of the independent trustees of investment company clients with unique multi-manager and master-feeder structures
  • assisted in the representation of the independent directors of closed-end funds in connection with the identification and consideration of investment adviser replacement candidates, the negotiation and coordination of disengagement with existing adviser, and the transfer of responsibilities to the successor adviser
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Credentials

Bar Admissions
  • New Jersey
  • Pennsylvania
Court Admissions
  • Pennsylvania Supreme Court
  • U.S. District Court for the Eastern District of Pennsylvania
Education
  • J.D., Rutgers University School of Law - Camden
  • B.S., University of Richmond
Memberships

  • Pennsylvania Bar Association

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