Successfully navigating the legal landscape of registered funds requires considerable expertise. This specialized field involves intricate securities law, regulatory compliance, fund governance, and more. Furthermore, the constantly shifting regulatory framework presents an additional layer of complexity. This underscores the importance of having knowledgeable and experienced legal representation. Today, we highlight some of the USA’s significant legal figures in the area of registered funds. These lawyers, distinguished for their extensive skills and industry knowledge, serve as exceptional guides to clients, navigating them through the intricacies of the registered funds space.
Investment advisors, private equity firms, independent directors, and private funds rely on these individuals’ sharp insights to overcome regulatory hurdles, launch new products, manage intricate transactions, and comply with the Securities Act. The lawyers explore below boast extensive knowledge of the Investment Company Act and the Investment Advisers Act, unmatched understanding of the investment market, and a keen eye for the subtleties of SEC regulations. Such professionalism and commitment have allowed them to set a high bar in the registered funds industry.
In examining these notable figures, we aim to shed light on the professional boundaries they are pushing and the exemplary services they offer. In order to provide a holistic perspective, we have included links to their respective firms.
Barry Barbash
Currently a partner at Willkie Farr & Gallagher LLP, Barry Barbash boasts profound understanding of theInvestment Advisers Act and the Investment Company Act. He is celebrated throughout the US for his expansive knowledge and application of these significant regulations.
Gregory Rowland
A prominent lawyer at Davis Polk & Wardwell LLP, Gregory Rowland is highly recognized for his broad experience. Investment advisors and private equity firms frequently rely on his insights pertaining to SEC and regulatory compliance issues.
Mark Perlow
Based out of Dechert LLP, Mark Perlow is well-known for advising investment managers and private funds on a comprehensive range of SEC regulations. His wide-ranging experience has made him a go-to figure in this field.
Nathan J Greene
One of the respected members of Sidley Austin LLP, Nathan Greene is well-known for the quality of his guidance, specifically, his astute understanding of the regulations governing registered funds. His proactive communication style and collaborative approach to problem-solving has gained him high praise.
David M Leahy
A key figure at Sullivan & Worcester, David Leahy offers sharp advice to independent trustees and directors of mutual funds, closed-end funds, and ETFs. His sophisticated knowledge of securities has earned him well-deserved accolades.
Amy Ward Pershkow
Providing services from Vedder Price PC, Amy Ward Perschkow is highly commended for advising independent boards of trustees and investment companies on ’40 Act compliance. She is known to be an excellent practitioner.
Thomas DeCapo
Thomas DeCapo is a well-regarded lawyer at Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates. His practice includes advising funds on issues relating to governance, including shareholder activism, and additional matters related to transactions.
Kenneth E Burdon
Another notable figure at Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates, Kenneth E Burdon, is highly sought after for his encyclopedic knowledge of the regulatory framework. His advice on fund launches, offerings, and regulatory issues is highly valued.
David Hearth
At Paul Hastings LLP, David Hearth offers standout service, frequently offering assistance to mutual and closed-end funds and their independent trustees. His practical approach and expertise in sophisticated investment products make him an exceptional resource.
Carl Frischling
Carl Frischling is renowned for his advice to independent trustees of registered funds. While his firm, Perkins Coie LLP, does not have a website, his reputation precedes him. His services include guidance on the formation and structuring of funds, among other matters.
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Where do you come up with this list?Some of these people are not even the most influential lawyer in their firm, and some are people I have never heard of, despite my 37 years in the business.