Clients turn to John for advice on corporate governance, legal administration and registration of investment companies under the Investment Company Act of 1940, including mutual funds, closed-end investment companies, and exchange traded funds.
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John has counseled clients on a number of issues, including: the formation and reorganization of mutual funds, business development companies (BDCs) and closed-end funds; the registration and listing requirements for closed-end funds and exchange traded funds (ETFs); managed futures mutual funds; issues related to the use of derivatives and swap agreements; proxy contests involving closed-end funds and activist shareholders; distribution and networking related contracts for mutual funds, investment advisers and broker dealers; compliance advice, mock SEC examinations and internal investigations; and mutual fund investment adviser marketing and advertising. John represents clients in a number of regulatory matters and has served as counsel to an SEC receivership.
Before joining the firm, John was a manager of regulatory administration with a third-party service provider to mutual funds and other pooled investment products.
Articles + Publications
02.23.24
FinCEN Proposes New Investment Adviser AML Rule
Articles + Publications
02.01.24
Investment Management Update - Q4 2023
Articles + Publications
01.23.24
SEC Releases New Guidance on Tailored Shareholder Reports
Articles + Publications
December 2022
Investment Management Update - December 2022
Articles + Publications
10.31.22
The SEC's New Marketing Rule - Practically Speaking: General Prohibitions
Articles + Publications
10.31.22
The SEC's New Marketing Rule - Practically Speaking: Hypothetical Performance