Overview

Joshua Lindauer counsels clients in the financial services industry with an emphasis on investment company matters. Josh’s clients include investment advisers, registered investment companies, private funds and other alternative investment vehicles and insurance companies. Josh works on a variety of fund types and structures, including open-end and closed-end funds, funds-of-funds, multi-manager funds, single and multiple series funds, single and multiple class funds, master-feeder funds and insurance company separate accounts. Josh also helps clients navigate the regulatory complexities presented by the federal securities laws and new financial technologies.

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.

Credentials

Bar Admissions

New York
Pennsylvania

Education

Brooklyn Law School
J.D. (2014)

George Washington University, The Elliot School of International Affairs
B.A. cum laude (2009)

Insights & Events

The Faegre Baker Daniels website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Baker Daniels' cookies information for more details.