Jonathan M. Kopcsik

Jonathan Kopcsik

Overview

Jonathan Kopcsik regularly advises clients in matters relating to the registration and regulation of investment companies, their independent trustees and investment advisers under federal and state securities laws. Jonathan has helped a number of investment firms launch their first registered and unregistered investment company products. He has counseled proprietary, multi-series, multi-class and multi-manager funds on various regulatory and compliance matters, as well as restructurings, acquisitions and other corporate transactions. He has experience advising fund boards and their independent trustees on issues relating to fiduciary duties, compliance and fund governance.

Jonathan also counsels investment advisers on investment, regulatory and compliance matters such as SEC inspections, compliance policies and procedures, and valuation of securities. He regularly assists investment company and investment adviser clients in responding to SEC inquiries. Jonathan has practiced in this area for more than 15 years.

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Results

Representative Matters

  • counseled an investment adviser in connection with the lift-out of its portfolio management team into their own investment advisory firm jointly owned with the existing investment adviser
  • handled several complex-wide proxy solicitations involving re-domestications, changes in fundamental investment limitations and reorganizations into affiliated and unaffiliated registrants
  • organized an unaffiliated fund-of-funds complex using a master-feeder structure that included on-shore and off-shore feeder funds and Cayman Island domiciled controlled foreign corporations (CFCs) for the master funds’ derivative investments
  • obtained exemptive relief to overcome the presumption of control by a co-owner of an investment advisory firm thereby avoiding the automatic termination of its advisory agreement and triggering a proxy solicitation
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Credentials

Bar Admissions
  • Pennsylvania
Education
  • J.D., cum laude, Temple University Beasley School of Law
  • B.A., Lafayette College
Memberships

  • American Bar Association

Upcoming Presentations

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