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Registered Investment Companies

We advise fund sponsors, investment advisers, independent directors and underwriters in connection with the formation and operation of open-end and closed-end registered investment companies.  We have extensive experience in preparing and updating fund registration statements, including prospectuses and statements of additional information.  We also prepare proxies, annual and semi-annual reports and other regulatory reports for submission to the SEC. 
We serve as counsel to the independent directors of registered investment companies and advise bank-affiliated and other investment fund complexes, underwriters, investment advisers and administrators that serve registered investment companies.

We have broad experience with fund mergers and investment adviser change of control issues.  We prepare and advise on fund compliance policies and procedures.  We also prepare and negotiate service provider agreements, including advisory, distribution, custody, transfer agent, fund accounting, fund administration and compliance services and intermediary agreements.

We prepare requests for exemptive relief and no-action letters and seek other relief for our clients from the SEC.  We assist our registered investment company clients in preparing for SEC staff examinations and with responding to SEC staff deficiency letters.  We also advise these clients in connection with SEC enforcement actions.