John M. Ford is a partner in the Financial Services Practice Group of Pepper Hamilton LLP, resident in the Philadelphia office. He concentrates on investment management matters.
Mr. Ford focuses his practice on investment company and investment adviser regulatory issues, and related issues affecting the investment management activities of financial institutions. He assists clients with the formation and registration of investment companies and investment advisers, and provides advice about regulatory compliance and securities law issues.
He serves as fund counsel to a broad array of mutual fund complexes and is experienced in the issues impacting both large-scale fund operations and smaller complexes operating as niche players. He has particular experience in representing series trust sponsors and sponsors of mutual funds relying on external sub-advisers for day to day asset management.
Mr. Ford often works closely with mutual fund sponsors on assisting their product development efforts, particularly in the area of registered investment funds that pursue alternative investment strategies. As part of these efforts, he routinely counsels clients on complex and, at times, “first to market” products. During his career, he has represented and assisted in the structuring of funds pursuing both passive and active “managed futures” strategies, and funds utilizing derivatives to achieve synthetic exposure to traditional and/or alternative asset classes. Mr. Ford is a recognized expert on the highly complex investment, regulatory and tax issues that are unique to such funds.
In addition, Mr. Ford has significant experience in counseling clients in connection with reorganizations, mergers, acquisitions and other business combinations of investment companies and other pooled investment funds. He also is experienced in private funds and status issues related to the Investment Company Act of 1940. Mr. Ford is a frequent commenter in the media on the regulation of money market funds.
He has been listed in Chambers USA: America’s Leading Lawyers for Business, in recognition of the strength of his practice in registered investment funds.
Mr. Ford is a contributor to The U.S. Private Equity Fund Compliance Guide, an in-depth guide which aims to inform and prepare private equity investment advisers with all the tools and intelligence necessary to register and maintain an active compliance program with the SEC as required by the Dodd-Frank Act. The book is published by PEI Media and available online at www.peimedia.com/compliance.
Before joining Pepper in 2008, Mr. Ford was a partner with Morgan, Lewis & Bockius LLP, where he was a member of the investment management and securities industry practice group. Before that, he was an attorney at Rodney Square Management Corporation, a mutual fund service company.
Mr. Ford is a member of the Pennsylvania, New Jersey and District of Columbia bars.