Joshua M. Lindauer

Partner

+1 212 248 3141 fax

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Overview

Investment managers trust Josh Lindauer with the structuring, registration and ongoing operations of registered investment vehicles that are designed to expand access to private markets and other alternative investments to retail and high-net-worth investors. His practice focuses on the representation of registered closed-end funds, including interval and tender offer funds and BDCs, as well as mutual funds and ETFs. In addition, Josh provides counsel to investment companies, their independent board members and sponsors on a broad range of ongoing regulatory, governance and transactional matters arising under the federal securities laws.

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 also advises his clients on fund governance, fiduciary duties, best practices, compliance, policies and procedures, and regulatory investigations and inspections.
In addition, Josh advises operating companies on considerations under the Investment Company Act of 1940 in connection with financings, initial public offerings, and merger and acquisition transactions.

Private Equity Primary and Secondaries

Josh has served a lead role towards the completion of greater than $600 million in private equity secondaries transactions.

He regularly counsels registered investment company and other institutional investors in the structuring of primary and secondary private equity fund investments.

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. Josh’s experience includes protracted work with the Securities and Exchange Commission (SEC) regarding the status of certain digital assets under the federal securities laws, as well as assisting a registered investment fund in the registration process for a blockchain share class.

Insurance Companies

Josh has experience counseling insurance company clients in the development and distribution of SEC registered and privately offered variable insurance products. Josh provides legal and advisory services to life and annuity companies on the intricacies of compliance with securities laws relating to insurance and investment products.

Prior Experience

Prior to joining the firm, Josh was an in-house attorney 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.