Fabio Battaglia advises investment companies and investment advisers in connection with regulatory, compliance and transactional issues. He also counsels investment advisers and sponsors on the formation of private investment funds, including domestic and offshore hedge funds. Fabio has worked on novel and innovative exchange-traded fund (ETF) products for more than 15 years.
Fabio advises clients on a range of investment management and securities law matters. Clients rely on his sophisticated advice surrounding the formation, registration and ongoing operations of registered investment companies; the preparation of regulatory filings; and the drafting of compliance procedures and corporate policies. His experience also includes dealing with multi-manager and sub-advised mutual funds, ETFs and closed-end funds.
Prior to entering private practice as a lawyer, Fabio worked in the legal advisory department of Merrill Lynch Investment Managers, where he developed a strong foundation in the industry from an in-house perspective.
Fabio is a frequent speaker on a range of topics related to the regulation of the investment management industry.
Featured Representative Matters
Represented a global asset management company in the creation and launch of a family of ETFs, including obtaining U.S. Securities and Exchange Commission (SEC) exemptive relief, completing SEC registration, and preparing and negotiating organizational documents and agreements.
Provided advice to a subsidiary of a large insurance company related to the formation and operation of several hedge funds.
Represented a global asset management firm in connection with the creation of a multi-strategy, alternative investment mutual fund, including the engagement of more than 15 sub-advisers.
Represented a registered investment adviser in connection with preparation of investment management agreements.
Advised the independent directors of a mutual fund complex on a variety of matters related to the consolidation and restructuring of the boards.
Interfaced with the SEC staff on behalf of clients in obtaining interpretive guidance and no-action relief, as well as several exemptive orders.
Represented an investment adviser in connection with the acquisition of a large mutual fund complex.
Counseled several mutual fund, ETF and investment adviser clients in connection with SEC compliance examinations.
Recognitions
The Legal 500 US (Mutual/Registered/Exchange-Traded Funds)
Featured Speaking Engagements
Speaker, “Operation and Regulation of Investment Vehicles: Mutual Funds, Exchange-Traded Funds & Hedge Funds,” Global Asset Management Education Forum (2012-18)
Panelist, “Nuts & Bolts of Being a Director,” Mutual Fund Directors Forum Directors’ Institute (2015-18)
Panelist, “What’s on the ETF Horizon?” Investment Company Institute: Mutual Funds and Investment Management Conference
Panelist, “Active ETFs: The Path to Product,” Stradley Ronon
Speaker, “The Director’s Point of View: A Discussion of Current Mutual Fund Issues,” Stradley Ronon
Presenter, “New Dodd-Frank Investment Advisor Rules: How Will They Impact Your Firm?” National Regulatory Services Webinar
Speaker, “Exchange-Traded Funds: The Current State of Regulation and a Look Forward,” Stradley Ronon
