Christopher J. Zimmerman

Christopher Zimmerman

Overview

Christopher J. Zimmerman focuses his practice on assisting investment companies, investment advisers and boards on various federal and state securities law matters. Among other things, he advises investment companies and investment advisers with respect to their organization, registration and regulation. Specifically, Chris’ practice includes assisting clients with registration and regulation of new and existing funds, board-related issues, fund restructurings, securities lending issues, soft dollars by investment advisers and the use of derivatives by investment companies.

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Representative Matters

Chris has obtained various exemptive orders from the SEC and has represented investment management clients in:

  • fund adoption transactions, including the acquisition of advisory businesses
  • internal fund reorganization and external adoption of mutual funds by other fund groups
  • registration with the SEC
  • connection with proxy statements for various proposals, including advisory and/or change-of-control changes, management of managers structure approval, fund structure and/or organization changes
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Credentials

Bar Admissions
  • District of Columbia
  • Maryland
Education
  • J.D., American University Washington College of Law
  • B.A., University of Maryland
Memberships

  • American Bar Association
  • Maryland State Bar Association

Speaking Engagements

  • Presenter, “Operation and Regulation of Investment Vehicles: Mutual Funds, Exchange-Traded Funds & Hedge Funds,” Global Asset Management Education Forum
  • Presenter, “Operation and Regulation of Investment Vehicles: Open-end Funds, Closed-end Funds, Exchange-traded Funds and Hedge Funds,” Global Asset Management
  • Presenter, “The CCO's Point of View: Making Sense of Recent Regulations and Enforcement Proceedings,“ Firm Hosted Seminar Stradley Ronon
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Recognition

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