Michael P. O'Hare

Overview

Mike O’Hare focuses his practice on advising investment companies (including mutual funds, closed-end funds, business development companies and private funds), independent directors, investment advisers, broker dealers and financial services organizations with regard to securities and corporate laws and regulations, compliance and transactional matters.

In addition to work associated with the registration, regulation and operation of investment companies and investment advisers under federal and state securities laws, Mike has helped a number of established investment firms launch their first registered and unregistered investment company products. He counsels clients with regard to regulatory and compliance matters such as SEC exemptive and interpretive relief, SEC inspections and investigations, compliance policies and procedures, special investments and valuation of securities. Mike also has experience advising fund boards and their independent trustees on issues relating to fiduciary duties and fund governance. He assists clients with fund creation and operation; business transactions such as fund and adviser restructurings, acquisitions and other corporate transactions; and negotiation of various service provider and intermediary agreements. He has particular experience with regard to corporate governance and represents both funds and fund independent directors.

Mike’s fund clients include multi-manager funds, money market funds, broker-sold funds, bank-sponsored funds and funds underlying variable annuity products.

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Representative Matters

  • Horizon Funds – independent trustee counsel
  • AssetMark (GuideMark/GuidePath) Funds – fund/adviser counsel
  • BMO Funds – fund/independent trustee counsel
  • FS Investments Funds (BDCs/closed-end/open-end) – independent trustee counsel
  • Hirtle Callaghan Funds – fund/adviser counsel
  • Managed Portfolio Series – independent trustee counsel
  • Jacob Funds – fund/adviser counsel
  • Olstein Funds – fund/adviser counsel
  • PENN Capital Funds – fund/independent trustee counsel
  • RBC Funds – fund/independent trustee counsel
  • Scout Funds – fund/adviser counsel
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Credentials

Bar Admissions
  • Pennsylvania
Education
  • J.D., cum laude, Temple University Beasley School of Law
  • B.S., maxima cum laude, La Salle University
Memberships

  • Stradley Ronon Technology Committee

Speaking Engagements

  • Presenter, “Opt In or Opt Out: Significant Developments, Board Considerations, and Policies and Procedures in Opt-out Litigation,” Stradley Ronon seminar held during the 2017 ICI Mutual Funds and Investment Management Conference
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum Directors’ Institute, January 2017
  • Presenter, “Hot Topics in SEC Enforcement and Examinations,” Investment Company Institute’s Legal Forum, June 2016
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Funds Directors Forum, June 2016
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum Directors’ Institute, January 2016
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum, July 2015
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Fund Directors Forum, June 2015
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum, April 2015
  • Panelist, “Nuts & Bolts of Being a Director,” Mutual Fund Directors Forum Directors’ Institute, January 2015
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Fund Directors Forum, February 2013
  • Presenter, “Directors Roundtable,” Stradley Ronon Event, June 2012
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Recognition

  • The Legal 500 U.S., recommended for mutual/registered funds
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