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.
Mike’s 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.
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.