Overview

Mike Malloy counsels a wide range of national and multinational financial institutions, advising on investment company and investment adviser matters, corporate law, securities and finance, as well as business matters of corporations, partnerships and business trusts, including public and private securities offerings.

Experienced, Responsive and Practical

Mike is consistently selected as a leading mutual fund lawyer by Chambers USA and The Legal 500. He is described by clients as an attorney who “understands the boardroom and the industry very well.” He “can always be counted on to provide responsive, practical, reasonable and well-thought-out advice.” He has established an “excellent level of professional chemistry” with his clients and “demonstrates outstanding business judgment.” Mike is well versed in regulatory and practical issues and can “explain complicated issues in a simple, understandable manner.” His guidance “is always on the mark,” and “his ethics are beyond reproach.” Sources describe Mike as “a calming influence,” and report, “his philosophy is that there shouldn’t be any surprises in the boardroom.” He “is a great lawyer” who is “extremely knowledgeable” and “is well known in the industry.”

Investment Company Counsel

Mike has extensive experience in organizing, counseling and reorganizing open- and closed-end investment companies, including:

  • Proprietary and private label funds
  • Multimanager funds
  • Single-series and multiseries funds
  • Single-class and multiclass funds
  • Master-feeder funds
  • Registered funds of hedge funds
  • Exchange-traded funds
  • Business development companies

Mike serves as fund counsel and/or independent counsel to independent directors, advising them on a broad range of issues and matters. He also has worked closely with regulators.

Private Funds

Mike practice also focuses on advising domestic and offshore private funds and private equity funds in planning, funding and structuring strategies (including the associated documentation and agreements) and in their day-to-day operations.

Investment Advisers

Mike has experience with the organization, day-to-day operations and mergers of investment advisers. He counsels them on a wide range of matters, including investment, regulatory and compliance issues such as SEC investigations and inspections, compliance policies and procedures, contract reviews, advertising, soft dollars, trade allocation and valuation of securities.

Credentials

Bar Admissions

Pennsylvania

Education

Boston College Law School
J.D. cum laude, Boston College Law Review - Editor (1984)

Boston College
B.A. summa cum laude (1981)

Insights & Events

Leadership & Community

Professional Associations

  • Federal Bar Association
  • Pennsylvania Bar Association

Honors

  • Chambers USA — Nationwide, Investment Funds: Registered Funds, 2012-20
  • Leading Lawyer, Legal 500, 2017-18
  • Best Lawyers®, Mutual Funds Law, 2020

Awards Methodology

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