Amy Fitzsimmons advises investment company and investment advisory clients on regulatory, compliance and transactional matters under federal and state securities laws.
Amy’s practice includes assisting clients with registration and regulation of new and existing funds, board issues, fund restructurings, fund shareholder meetings and proxy materials, and other regulatory and compliance matters.
With respect to investment advisory clients, Amy concentrates on registration, regulation, contract and compliance matters under the Investment Advisers Act of 1940 and state securities laws.
Featured Representative Matters
Established a variety of funds for clients including alternative funds that: (1) invest in specific complex instruments such as commodities and derivatives; (2) utilize special structures, such as a manager-of-managers or fund-of-funds structures; and (3) employ alternative strategies, such as long-short, diversified/asset allocation and managed volatility strategies.
Represented clients in internal fund reorganization and external adoptions of mutual funds by other fund groups.
Represented various investment advisory clients in registrations with the U.S. Securities and Exchange Commission (SEC) and/or transitions between state and federal registration.
Represented clients in connection with proxy statements for various proposals including advisory and/or change-of-control changes, manager-of-managers structure approval, fundamental investment restriction changes, fund structure and/or organizational changes.
Memberships
Chair, Advisory Board, Salvation Army Greater Philadelphia
Member, American Bar Association
Recognitions
Unsung Heroes, The Legal Intelligencer (2026)
The Legal 500 US (Recommended: Mutual/Registered/Exchange-Traded Funds) (2020)
Featured Speaking Engagements
Panelist, “Leveraging Technology for Effective Oversight Programs,” Investment Company Institute Tech Summit
