Joshua D. Borneman
Associate
Joshua Borneman advises investment companies — including mutual funds, private funds, closed-end funds and exchange-traded funds (ETFs) — and investment advisers on regulatory, compliance and transactional issues. He is a frequent author on the latest rulemaking activity from the U.S. Securities and Exchange Commission (SEC) and other regulatory agencies.
Josh provides counsel to investment management clients in all aspects of legal representation, including drafting and reviewing registration statements, proxy solicitation materials and other regulatory filings; researching various securities and corporate law issues; and preparing board materials. Josh is well-versed in advising clients on complex issues and rules, including with respect to fair valuation and liquidity of fund securities. He is also knowledgeable regarding the anti-money laundering requirements applicable to mutual funds and broker-dealers.
While in law school, Josh was a lead articles editor for the Catholic University Journal of Law and Technology and interned with the SEC’s Division of Investment Management.
