Mutual Funds, Exchange Traded Funds (ETFs), SEC Closed-End Funds & Business Development Companies (BDCs)
We advise on Mutual Funds, ETFs, SEC registered Closed-End Funds and BDCs.
Our deep background in Mutual Funds, ETFs, SEC registered Closed-End Funds and BDCs provides our clients with sophisticated and meticulous representation to protect and enhance our clients’ interests.
We leverage a wealth of experience at leading major firms to provide our clients with exceptional legal counsel.
We advise on Mutual Funds, ETFs, SEC Closed-End Funds & BDCs for a broad range of matters including:
- FORM N-1A (Mutual Fund or ETF)
- FORM N-2 (closed-end fund)
- FORM N-2 (BDC)
- Policies & Procedures for Mutual Funds, ETFs, SEC Closed-End Funds & BDCs
- Board of Director materials for Mutual Funds, ETFs, SEC Closed-End Funds & BDCs
- FORM N-18F-1
- FORM-8A
- FORM N-6F
- FORM N-54A
- FORM 40-17G
- Charter (Agreement and Declaration of Trust or Articles of Incorporation)
- By-laws
- Investment Advisory Agreement(s) between the Fund and the Adviser(s)
- Distribution Agreement between the Fund and the Distributors
- Custodial Agreement between the Fund and the Custodian
- Fund Services Agreement
- Expense Limitation Agreement
- Consulting Agreement
- Legal Opinion and Consent
- Subscription Agreement
- Distribution and Shareholder Servicing Plan(s) Pursuant to Rule 12b-1 (e.g., with respect to Class A, B, C Shares)
- Rule 18f-3 Plan
- Code of Ethics for the Fund
- Code of Ethics for the Adviser
- Code of Ethics for the Distributors
- Code of Ethics for the Sub-Adviser(s)
- Sub-advisory Agreement(s) between Sub-adviser(s) and the Adviser (optional)
- SEC Exemptive Applications
- Investment Adviser SEC registration (Form ADV)
