John P. Falco is a partner in the Financial Services Practice Group of Pepper Hamilton LLP, resident in the Philadelphia office. Mr. Falco is primarily involved in areas of 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.
Mr. Falco 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. Mr. Falco represents clients in a number of regulatory matters and has served as counsel to an SEC receivership.
Before joining Pepper, Mr. Falco was a manager of regulatory administration with a third-party service provider to mutual funds and other pooled investment products.