Our practice involves all aspects of the investment company business from organizing and registering open-end and closed-end funds to providing ongoing advice to the funds, their directors, and advisers.

Our services include:

• Organization of entities
• Negotiation and documentation of agreements with service providers, including investment advisers, custodians, transfer agents, fund accountants, fund administrators, and shareholder servicing agents
• Federal and state registrations, including preparation of prospectuses, registration statements, and post-effective amendments, and review of annual and semi-annual reports and other periodic SEC filings
• Presentation at the organizational board meeting on all required start-up procedures and attendance at regular meetings of the boards of directors
• Attendance at annual or special meetings of shareholders and preparation of proxy statements
• Review of advertising and marketing materials, including websites and performance disclosures
• Advice on distribution of investment products and financing of distribution, including 12b-1 plans and related agreements, mutual fund marketplaces, supermarkets, alliances and networking arrangements
• Assistance with SEC examinations, deficiency letters, and administrative actions
• Advice on general compliance and legal issues arising under the Investment Company Act of 1940, the Securities Act of 1933, and other federal and state laws, including privacy laws and the Sarbanes-Oxley Act
• Advice to mutual fund boards of directors, including advice to outside directors, on board responsibilities, including monitoring affiliated transactions, valuation and pricing of shares, code of ethics violations, and approval of advisory agreements
• Preparation of SEC exemptive applications and no-action requests
• Reorganizations, mergers and acquisitions of mutual funds and money management firms
• Advice on financial institution involvement in mutual funds, including common and collective trust fund conversions