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The practice of mutual fund law involves aspects of state corporate law, the federal securities laws, tax law, and ERISA. Lawyers who practice in this area provide advice with respect to the organization, registration with the Securities and Exchange Commission, and ongoing operation of mutual funds.

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 O'Hanlon

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Featured Firms

Feldman, Kleidman, Coffey, Sappe & Regenbaum LLP

Mutual Funds Law

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Witman Stadtmauer, P.A.

Mutual Funds Law

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Doffermyre Shields Canfield & Knowles, LLC

Mutual Funds Law

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