Ken Greenberg counsels investment companies, investment advisers, and broker-dealers regarding a wide variety of regulatory, legal, operational and compliance matters.
For more than 30 years, he has provided guidance concerning a wide variety of matters arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA Conduct Rules, and state “blue sky” securities and state escheatment laws.
Over the years, Ken has led numerous large and complex mutual fund reorganizations and has been involved in the reorganization of more than 30 different mutual fund complexes involving over 600 separate mutual fund portfolios.
His experience includes:
- forming and registering investment advisers and investment companies;
- handling mergers and acquisitions of investment companies;
- preparing disclosure documents (including Form ADV, Form N-1A, Form N-2, and Form N-14) and proxy materials;
- drafting and negotiating a wide variety of service provider contracts (including investment management, fund administration, custodian, transfer agent, and participation agreements);
- drafting and reviewing compliance manuals and policies (including cybersecurity and privacy policies);
- reviewing advertising;
- addressing SEC staff comments on registration statements and exemptive applications;
- counseling money market funds on Rule 2a-7 issues; and
- organizing Cayman Island blocker companies.