Theodore counsels registered funds, private funds, their managers and sponsors in connection with organizational, offering, transactional, and compliance matters. Theodore regularly works with a variety of different fund structures, including open-end and closed-end funds, private equity and hedge funds. He also counsels investment advisers on various matters, particularly with respect to registration and disclosure issues. Theodore has significant experience with investment company status issues under the Investment Company Act of 1940.
Troutman Pepper Financial Services
02.14.24
How to Avoid a Similar Fate? SEC Charges Firms With Record-Keeping Violations for Off-Channel Communications
Articles + Publications
02.14.24
How to Avoid a Similar Fate? SEC Charges Firms With Record-Keeping Violations for Off-Channel Communications
Articles + Publications
02.01.24
Investment Management Update - Q4 2023
Articles + Publications
01.23.24
SEC Releases New Guidance on Tailored Shareholder Reports
Speaking Engagements
06.22.23
Non-Profit Entity Formation Training
Troutman Pepper Financial Services
05.10.23
SEC Adopts Significant Amendments to Form PF