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Investment Management

Mutual Funds

  • Overview
  • Updates, News & Presentations

Our practice involves all aspects of the investment company business, from organizing and registering open-end and closed-end funds, including closed-end interval funds, to providing ongoing advice to the funds, their directors and advisers.

Our services include:

Organization and Operation

  • Organization of mutual fund entities, including preparation of organizational documents, subscription agreements and board materials
  • Presentation at organizational board meetings
  • Negotiation and documentation of agreements with fund service providers
  • Registration under the Investment Company Act of 1940 and Securities Act of 1933, including preparation of registration statements and pre- and post-effective amendments, and conducting related discussions with SEC staff
  • CFTC compliance and related filings
  • Review of annual and semi-annual shareholder reports and other periodic SEC filings
  • Preparation and review of compliance programs
  • Preparation of proxy statements
  • Review of advertising and marketing materials, including websites and performance disclosures
  • Advice on distribution of investment products, including 12b-1 plans and related agreements, shareholder servicing plans and arrangements with third-party financial intermediaries
  • Advice on money market fund issues, including floating NAV funds


  • Attendance at meetings of mutual fund boards of directors
  • Advice to boards of directors, including advice as independent legal counsel to outside directors


  • Advice on general compliance and legal issues arising under the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other federal and state laws, including privacy laws, anti-money laundering laws, the Sarbanes-Oxley Act and the Dodd-Frank Act
  • Assistance with SEC examinations and findings letters
  • Assistance with SEC enforcement investigations and administrative proceedings
  • Preparation of SEC exemptive applications and no-action requests
  • Chief compliance officer support


  • Reorganizations, acquisitions and liquidations of mutual funds
  • Private fund and bank collective investment fund conversions into mutual funds

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