Experience

Stradley Ronon

• United States
• Law Practice
• 300 - 400 Employee

• Partner

  • Aug 1995 - Present

  Greater Philadelphia Area My work includes: - Organizing/registering investment companies using a number of fund structures, including working with multiple class funds, master-feeder funds, multi-manager funds, money market funds, target date funds, and funds that serve as underlying investment vehicles for variable insurance products - Developing/reviewing compliance programs for investment advisers, investment companies, and their various service providers, and assisting in implementing new compliance… Show more My work includes: - Organizing/registering investment companies using a number of fund structures, including working with multiple class funds, master-feeder funds, multi-manager funds, money market funds, target date funds, and funds that serve as underlying investment vehicles for variable insurance products - Developing/reviewing compliance programs for investment advisers, investment companies, and their various service providers, and assisting in implementing new compliance programs and complying with regulatory requirements - Assisting investment companies and investment advisers in documenting selling arrangements, including negotiating dealer and solicitation agreements - Advising investment companies on proxy solicitations, including compliance with proxy rules under the Securities Exchange Act of 1934, and preparing proxy statements - Structuring/conducting due diligence for mergers and acquisitions of investment companies and investment advisory firms - Negotiating contracts with major fund service providers - Advising independent directors/trustees in annual review of advisory contracts and related matters - Developing governance programs for investment company boards, including reviews of board cmte charters - Advising independent directors/trustees on legal, governance and industry practice issues - Advising fund management on non-U.S. offerings of mutual fund shares - Advising clients on conflicts of interest, fiduciary matters, affiliated transactions, risk management and regulatory changes - Preparing/filing SEC no-action letter requests and exemptive applications, including applications relating to fund of fund structures, joint interfund lending and borrowing facilities, and manager-of-manager arrangements - Negotiating the resolution of SEC staff comments on exemptive applications and registration statements - Responding to regulatory issues raised by the SEC staff during inspections and examinations - Preparing comments on SEC rule-making

• Attorney

  • Jan 1995 - Aug 1995



Federated Hermes

• United States
• Financial Services
• 700 & Above Employee

• Associate Corporate Counsel

  • 1989 - 1995

  Greater Pittsburgh Area