Michael P. O'Hare

Overview

Mike O’Hare focuses his practice on advising investment companies (including mutual funds, ETFs, closed-end funds, business development companies and private funds), independent directors, investment advisers, broker dealers and financial services organizations with regard to securities and corporate laws and regulations, compliance and transactional matters.

In addition to work associated with the registration, regulation and operation of investment companies and investment advisers under federal and state securities laws, Mike has helped a number of established investment firms launch their first registered and unregistered investment company products. He counsels clients with regard to regulatory and compliance matters such as SEC exemptive and interpretive relief, SEC inspections and investigations, compliance policies and procedures, special investments and valuation of securities. Mike also has experience advising fund boards and their independent directors on issues relating to fiduciary duties and fund governance. He assists clients with fund creation and operation; business transactions such as fund and adviser restructurings, acquisitions and other corporate transactions; and negotiation of various service provider and intermediary agreements. He has particular experience with regard to corporate governance and represents both funds and fund independent directors.

Mike’s fund clients include multi-manager funds, money market funds, funds of funds, liquid alternative funds, closed-end interval funds and funds underlying variable annuity products.

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Representative Matters

  • AssetMark (GuideMark/GuidePath) Funds – fund/adviser counsel
  • BMO Funds – fund/independent director counsel
  • FS Investments Funds (BDCs/closed-end/open-end) – independent director counsel
  • Hirtle Callaghan Funds – fund/adviser counsel
  • Horizon Funds – independent trustee counsel
  • Jacob Funds – fund/adviser counsel
  • Managed Portfolio Series (U.S. Bank) – fund/independent trustee counsel
  • Olstein Funds – fund/adviser counsel
  • PENN Capital Funds – fund/independent trustee counsel
  • Rational Funds – fund/independent trustee counsel
  • RBC Funds – fund/independent trustee counsel
  • Strategy Shares ETFs – fund/independent trustee counsel
  • Tortoise Funds ETFs – fund/independent trustee counsel
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Credentials

Bar Admissions
  • Pennsylvania
Education
  • J.D., cum laude, Temple University Beasley School of Law
  • B.S., maxima cum laude, La Salle University
Memberships

  • Stradley Ronon Technology Committee

Speaking Engagements

  • Moderator, “The Fund Board’s Role in Mergers & Acquisitions,” Mutual Fund Directors Forum Directors’ Institute
  • Presenter, “Opt In or Opt Out: Significant Developments, Board Considerations, and Policies and Procedures in Opt-out Litigation,” Stradley Ronon Hosted Seminar
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum Directors’ Institute
  • Presenter, “Hot Topics in SEC Enforcement and Examinations,” Investment Company Institute’s Legal Forum
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Funds Directors Forum
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum Directors’ Institute
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Fund Directors Forum
  • Panelist, “Nuts & Bolts of Being a Fund Director,” Mutual Fund Directors Forum
  • Panelist, “Nuts & Bolts of Being a Director,” Mutual Fund Directors Forum Directors’ Institute
  • Moderator, “Director Discussion Series – Open Forum,” Mutual Fund Directors Forum
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Recognition

  • The Legal 500 U.S., recommended for mutual/registered funds
  • The Philadelphia Inquirer, Influencers of Law – Investment Management
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