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Stradley Ronon Investment Management Partners Present at ICI’s 2021 Closed-End Fund Virtual Conference

November 09, 2021
Firm News
PHILADELPHIA – Stradley Ronon is pleased to announce Taylor Brody and David P. Glatz presented at the Investment Company Institute (ICI)’s 2021 Closed-End Fund Virtual Conference Program on Nov. 9. Brody and Glatz were speakers on a Thought Leadership Session titled, “The Leverage Landscape and Activist Shoreline: Popular Destinations on the Closed-End Map,” which covered the statutory roadmap underlying closed-end fund leverage, examined recent trends and traversed the substance and impact of recent criteria revisions enacted by credit rating agencies.

Brody and Glatz also offered attendees practice guidance for closed-end fund boards to consider in ensuring a fund’s governing documents provide optimal protection against activist investors.

Brody focuses on counseling investment companies, boards of directors and investment advisers in connection with regulatory, compliance and transactional issues. She advises clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; closed-end fund proxy fights; the applicability and interpretation of federal and state securities laws; the drafting of compliance procedures and corporate policies; and various transactional matters, such as fund mergers and closed-end fund tender offers.

Glatz focuses his practice on investment management matters, with a concentration on closed-end funds. As counsel to registered investment companies on securities law and regulatory matters, he advises clients on issues arising under the federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940, stock exchange rules and other regulatory topics. He also counsels closed-end funds on initial public offerings and public and private offerings of preferred shares.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in seven strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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