Joshua M. Lindauer

Registered Investment Companies

Josh has experience working with registered investment companies throughout their lifecycles. He has represented clients on a broad range of registered investment company matters, including fund formation and registration, regulatory filings, negotiation of fund agreements and service provider contracts, preparation of proxy and information statements, fund mergers and acquisitions, preparation of exemptive applications, negotiation and preparation of credit facilities, and preparation of comment letters on regulatory initiatives and proposed rules.

Josh has significant experience advising clients on the registration process for, and ongoing regulatory obligations of, continuously offered closed-end funds, including interval funds and tender offer funds. Josh also advises his clients on fund governance, fiduciary duties, best practices, compliance, policies and procedures, and regulatory investigations and inspections.

Insurance Companies

Josh has experience counseling insurance company clients in the development and distribution of SEC registered and privately offered variable insurance products.

New Financial Technologies

Josh advises clients in navigating the regulatory challenges presented by blockchain, digital assets, decentralized finance and new financial technologies and the federal securities laws.

Prior Experience

Prior to joining the firm, Josh was an in-house lawyer at the asset management division of a global bank. He served as a vice president and assistant secretary of the investment companies within the division’s fund complex.