• assisted in the representation of several leading global investment firms, including related to registration statement and contract approval disclosure review, compliance, the drafting of complex strategy and risk disclosure and the launch of novel investment products
• established a variety of funds for clients including 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 a long-short, diversified/asset allocation and managed volatility strategies
• assisted in the representation of a large investment management company complex in connection with a significant project involving the alignment of each funds’ agreements of organization, by-laws and fundamental investment policies
• represented clients in connection with proxy statements for various proposals, including changes-of-control, fundamental investment restriction changes, fund structure and/or organizational changes and the election of directors
• coordinated the acquisition of a mutual fund complex, including seeking shareholder approval and negotiating the termination of service contracts and liquidating and terminating funds not part of the acquisition
• prepared the initial contract approval disclosure for an investment management company complex with 198 funds
• successfully prepared numerous no-action letters and exemptive applications on a variety of investment company issues
• successfully launched the first actively managed exchange-traded fund

*Includes certain representations prior to joining Stradley Ronon.

• Presenter, “Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements,” Investment Adviser Association Compliance Training

• New York State Bar Association, Empire State Counsel for contributions to pro bono clients