Find Lawyers in District of Columbia, United States for Mutual Funds Law
Practice Area Overview
Areas of focus for practitioners include product development initiatives, disclosure documents, promotional materials, advisory and distribution arrangements, contracts with service providers, regulatory filings, and dealings with regulators. Other key areas include board counseling and corporate governance, regulatory and compliance matters, examinations and enforcement matters, and shareholder litigation.
Lawyers also provide advice on transactional matters including mergers and acquisitions involving fund sponsors, fund reorganizations, fund investments in portfolio companies, and cross-border matters. Related areas of practice include investment adviser regulation, broker-dealer regulation, and advice with respect to offering funds in foreign jurisdictions and related regulatory matters.
John's practice focuses on the representation of mutual funds, exchange-traded funds (ETFs), closed-end funds and business development companies (BDCs) and their independent board members. He advises clients on a range of matters, including the formation, operation, merger and liquidation of mutual funds, closed-end funds, ETFs, and BDCs. John has extensive experience working on transactions involving registered funds, such as adviser acquisitions, fund adoptions and product launches.
Nicole is a partner in the Investment Management Group and the Chair of Sullivan's Corporate Governance & Board Advisory Practice Group. Nicole serves as Co-Chair of the firm's Lateral Partner Hiring Committee. Nicole's practice focuses on the representation of boards and board committees, including independent directors, as well as a broad spectrum of companies, such as investment companies, investment advisers and broker-dealers. Nicole regularly advises on all aspects of governance and...
David is co-leader of the Investment Management Group. His practice consists of counseling independent directors of open-end funds, closed-end funds, exchange-traded funds and business development companies, as well as the funds themselves and their investment advisers on matters relating to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
David is the managing partner of the Washington, D.C. office, as well as the co-leader of the Investment Management Group. Prior to joining Sullivan & Worcester, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.
Chris Palmer is chair of the Business Law Department in Goodwin Procter’s Washington, D.C. office, and is a member of the Financial Services Group. Chris focuses his practice on securities, investment management and insurance matters. Chris represents mutual funds, investment advisers, insurance companies and broker-dealers on the development, regulatory approval, sale and administration of a variety of investment products, including mutual funds and variable and fixed life insurance and annu...
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