We have extensive experience in all types of investment company matters—from the organizational concerns of the start-up phase through ongoing management and regulatory issues of the mature complex. Our attorneys can assist with:

• Structuring new mutual funds and ETFs
• Handling SEC investment company registrations and exemptive applications, as well as regulatory filings
• Addressing continuing disclosure obligations
• Negotiating contracts related to distribution, brokerage, custody, shareholder servicing and insurance arrangements
• Counseling independent directors on their duties and responsibilities under the law
• Handling compliance matters, including shareholder meeting preparation and proxy solicitation
• Advising on reporting requirements, promotional materials, advertising compliance and electronic distribution
• Handling reorganizational matters, such as a reorganization to a Massachusetts business trust or a Delaware statutory trust
• Acquiring one or more other investment companies
• Trading in swaps, futures and options contracts and various hedging activities
• Providing representation in administrative proceedings and in securities and commercial litigation matters
• Reviewing and advising on insurance matters
• Assisting clients in SEC inspections

In addition, our attorneys have particular experience with ETFs, closed-end funds and variable insurance products. We can provide advice on structuring and operating non-registered pooled investment vehicles and on creating group trusts, statutory trusts and long-only private funds.