We provide ongoing advice to investment companies and their various service providers on a wide variety of issues, including formation, registration and disclosure. Additionally, we have extensive experience advising investment companies on marketing, advertising and distribution issues. We also assist investment companies in developing compliance systems and regulatory controls, and advise funds on compliance matters such as brokerage and portfolio trading practices, affiliate transactions and pricing and liquidity of portfolio securities. Additional services include:
- assisting in the formation and registration of investment companies, including open-end funds, closed-end funds and unit investment trusts;
- assisting in the formation, registration and offering of business development companies;
- assisting in the formation and registration of insurance company separate accounts;
- preparing all required SEC and other regulatory agency filings;
- providing advice regarding sales, acquisitions and mergers of registered investment companies and private funds;
- obtaining exemptive and no-action relief from the SEC;
- providing advice regarding ongoing compliance with the Investment Company Act of 1940;
- assisting in the formation and placement of private investment companies; and
- providing advice and opinions regarding investment company status under Section 3 of the 1940 Act.