Fund Legal Administration and Regulation Compliance

Transcription

Fund Legal Administration
and Regulatory Compliance
ALPS Funds Services, Inc.
1290 Broadway
Suite 1100
Denver, CO 80203
303-623-2577
Fax: 303-623-7850
Website: http://www.alpsinc.com
Email: lisa.mougin@alpsinc.com
Contact: Lisa B. Mougin, Senior Vice President, Director of Sales
and Client Relationship Management
ALPS, a DST company, offers a full-service partnership approach
to clients looking for customized service. Our services are designed
to meet your needs, and our consultative approach provides
an integrated, client-oriented alliance.
Clients experience a seamless extension of their workforce
as they outsource to ALPS. Our turnkey package includes
compliance, creative services, distribution, fund accounting, fund
administration, legal, marketing, shareholder servicing, tax, and
transfer agency services to open-end, closed-end, exchangetraded, private equity, and hedge funds. ALPS also offers a series
trust, providing advisers with a solution for bringing open-end
mutual funds to market in an efficient and cost-effective manner.
See our ad on the front inside cover.
Atlantic Fund Services
3 Canal Plaza
Suite 600
Portland, ME 04101
207-347-2016
Website: http://www.atlanticfundservices.com
Email: jessica.chase@atlanticfundservices.com
Contact: Jessica Chase, Senior Vice President Business
Development
Atlantic provides comprehensive solutions for converting,
launching, and operating mutual funds, registered and
unregistered hedge funds, and other pooled investment vehicles.
We offer:
»»Consultative product design, conversion, and fund
start-up management
»»Expert fund administration and compliance
support, including best practices and cost management
strategies
»»Advanced fund accounting that supports accurate and timely
Since our founding as Forum Financial Group in 1986, we have
provided innovative fund services and solutions that emphasize
quality, responsiveness, and compliance.
Brown Brothers Harriman & Co.
50 Post Office Square
Boston, MA 02110
617-772-6178
Website: http://www.bbh.com/
investorservices
Email: joe.pennini@bbh.com
Contact: Joe Pennini, Senior Vice President
Brown Brothers Harriman (BBH) offers extensive regulatory
compliance and legal administrative expertise as part of its
comprehensive suite of global investment administration services.
These services include corporate secretarial services, timely
updates on regulatory proposals and changes, direct access to
BBH’s team of experienced regulatory staff, and electronic board
books. BBH’s compliance reporting system receives automated
monitoring reports, has a highly developed audit trail and data
integrity controls, and provides extensive reporting facilities. For
more information about BBH’s differentiated approach, please visit
www.bbh.com.
Gemini Fund Services, LLC
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
855-891-0092
Website: http://www.geminifund.com
Email: eddie.lund@geminifund.com
Contact: Eddie Lund, Vice President Business Development
Gemini Fund Services, LLC provides comprehensive, pooled
investment solutions as an engaged partner to independent
advisors. Gemini serves as a resource to advisors bringing their
own, unique investment vehicles to market, including mutual
funds, exchange-traded funds, funds on insurance platforms, and
more. As a full-service firm, Gemini provides the administration,
accounting, and transfer agent/shareholder services that advisors
need in order to launch and market successful products. With
more than 30 years of experience, Gemini brings industry
knowledge and insight to help advisors achieve the vision of their
product and deliver the most extensive range of solutions to
clients.
NAV calculations and reporting
»»Leading transfer agency services that provide clients,
intermediaries, and shareholders with focused expertise and
real-time data
THE INVESTMENT COMPANY SERVICE DIRECTORY: 2016 EDITION
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FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE
J.P. Morgan
SEI
383 Madison Avenue
Floor 11
New York, NY 10179
212-834-4526
Website: http://www.jpmorgan.com/investorservices
Email: john.durso@jpmorgan.com
1 Freedom Valley Drive
Oaks, PA 19456
610-676-1270
Website: http://www.seic.com/ims
Email: ManagerServices@seic.com
Contact: John Durso, Managing Director
J.P. Morgan’s Regulatory Services team provides corporate
governance and regulatory filing support to a wide array of
investment vehicles and fund structures, including open- and
closed-end funds, exchange-traded products, commingled funds,
and partnerships. Services include preparation of draft regulatory
filings and board and committee meeting support, including
preparation and dissemination of materials and making staff
available to assist with preparing minutes. The attorneys and
support staff within the Regulatory Services team work closely
with our clients to customize the service offering to fit their
specific needs, business, and preferences while supporting all
industry and regulatory requirements.
Northern Trust
50 South LaSalle Street
Chicago, IL 60603
312-444-5655
Website: http://www.northerntrust.com/fundservices
Email: mb147@ntrs.com
Contact: Michael Blake, Senior Vice President
Northern Trust is a top-tier provider of services to fund managers
worldwide, including fund accounting, financial reporting,
regulatory administration, tax, performance, treasury and
budgeting, and compliance support to our global fund clients.
Northern Trust’s leading technology offers post-trade compliance
monitoring solutions for a variety of fund structures in multiple
jurisdictions, including Chicago, Dublin, Limerick, London,
and Luxembourg. In addition, Northern Trust has dedicated
professionals to assist in regulatory compliance matters, including
Rule 38a-1 support for chief compliance officers.
Northern Trust is the proud winner of the Mutual Fund
Administrator of the Year, Custody Risk Magazine Americas
Awards, 2015.
Contact: John Alshefski, Senior Vice President and Managing
Director, Investment Manager Services
SEI offers a comprehensive range of administrative services,
including financial reporting, fund expense budgeting/forecasting,
board material preparation, regulatory filings, and tax services.
SEI applies operating services, technologies, and business/
regulatory knowledge to each client’s business objectives. Our
services have been designed to take into account the SarbanesOxley Act requirements.
In addition to our compliance support services, SEI offers clients
access to our ComplianceAdvantage program, which provides
CCOs with timely interpretation of new and pending regulations;
identification of emerging industry best practices; tailored, clientspecific guidance and consultation; and monitoring tools to assist
them with all aspects of their own compliance programs.
Ultimus Fund Solutions, LLC
225 Pictoria Drive
Suite 450
Cincinnati, OH 45246
513-587-3400
Website: http://www.ultimusfundsolutions.com
Email: bdorsey@ultimusfundsolutions.com
Contact: Bob Dorsey, Managing Director
Ultimus provides comprehensive mutual fund services to new
and existing open- and closed-end fund groups. We operate as
a professional services firm staffed with attorneys, accountants,
paralegals, operations specialists, and shareholder service
representatives.
Our team of Passionate Professionals provides services, including
fund organization, compliance, fund and legal administration,
distribution, fund accounting and pricing, and transfer agent and
shareholder services, along with middle office services to produce
Remarkable Results for our clients.
Since 1999, our senior management team of seasoned veterans,
combined with industry-leading technology and operational best
practices, delivers customized, Smart Solutions suited to each
client’s business requirements. 100
FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE
UMB Fund Services
U.S. Bancorp Fund Services, LLC
235 West Galena Street
Milwaukee, WI 53212
888-844-3350
Website: http://www.umbfs.com
Email: umbfs@umb.com
777 East Wisconsin Avenue
Milwaukee, WI 53202-5306
414-765-5678
800-300-3863
Fax: 866-624-7095
Website: http://www.usbfs.com
Email: bob.kern@usbank.com
Contact: Tony Fischer, President
We take a strong, multi-layered approach to addressing your fund
compliance and administrative service needs.
Our in-house attorneys, Blue Sky specialists, CCO support, and
tax professionals have extensive ‘40 Act, SEC filing, and FINRA
compliance experience. Rigorous quality-control standards help
ensure accuracy and timeliness.
Services include:
»»Dedicated compliance manager to support your CCO
»»SEC, IRS, and portfolio compliance monitoring
»»Budgeting and expense analyses
»»Annual and SEC audit coordination
»»Distribution calculation and tax return preparation assistance
»»Board meeting coordination, including preparing materials,
reports, minutes
»»Rule 38a-1 compliance support services
»»Filing all required financial and regulatory reports
»»Blue Sky compliance monitoring
Contact: Bob Kern, Director of Business Development
Our attorneys support registered and unregistered pooled
products, including funds with multiple series, multiple share
classes, master-feeder structures, variable annuities, exchangetraded funds, and funds-of-funds. We guide our clients and their
legal counsel through fund regulatory and legal requirements,
including:
»»Organizing and drafting fund registration statements
»»Preparing mutual fund policies and procedures
»»Drafting and reviewing a variety of contracts, including
agreements between mutual funds, their service providers,
and investment advisers
»»Preparing and executing SEC filings, including applications
for exemptive relief
»»Preparing organizational and quarterly board materials
»»Preparing board meeting minutes
See our ad on page 242 and on the back cover.
101
GIPS Verification and Performance Measurement
Kreischer Miller
100 Witmer Road
Suite 350
Horsham, PA 19044
215-441-4600
Website: http://www.kmiig.com
Email: tpeters@kmco.com
Contact: Thomas A. Peters, Director, Audit and Accounting
Kreischer Miller is an accounting, tax, and business advisory
firm that has been serving clients since 1975. Our experienced
professionals proactively identify and solve problems, and reduce
risk by addressing issues before they are caught by regulators. We
also offer ideas on ways to operate more efficiently and provide
insight into how other firms handle issues.
Kreischer Miller’s Investment Industry Group provides the
following services for investment managers, funds, broker-dealers,
and investors:
»»GIPS compliance
»»Operational due diligence
»»Compliance and consulting
»»Financial statement audits
»»Tax strategies
To learn more, contact Tom Peters or Todd Crouthamel at
215-441-4600 or visit www.kmiig.com.
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Global Custodian
BNP Paribas
Brown Brothers Harriman & Co.
51 West 52nd Street
Floor 36
New York, NY 10019
212-471-7046
Website: http://securities.bnpparibas.com
Email: philippo.bano@us.bnpparibas.com
50 Post Office Square
Boston, MA 02110
617-772-1673
Website: http://www.bbh.com/
investorservices
Email: michael.saunders@bbh.com
Contact: Philippo Bano, Director and Head of Sales, Financial
Intermediaries
Contact: Michael A. Saunders, Managing Director
BNP Paribas is a global leader in asset servicing with over 20 years
of experience delivering custody services. With our offer, clients
enjoy the safety of assets held within a bank entity in a riskcontrolled environment with daily reconciliation of all client and
depository activities.
BNP Paribas is a leading global custodian and securities services
provider backed by the strength of a universal bank. Covering
over 100 markets, with our own offices in 34 countries, the BNP
Paribas network is one of the most extensive in the industry.
Brown Brothers Harriman (BBH) offers global custody centered
around the safekeeping and servicing of our clients’ investments
in an efficient, secure, and transparent manner. We develop
substantial and lasting partnerships with a carefully selected
client base of institutional investment managers and financial
institutions with the goal of protecting and enhancing the value
of their investments. BBH employs a non-captive, multi-provider,
sub-custodian bank strategy in over 100 markets. Our practice is
to maintain segregated asset accounts for our clients, enhancing
the level of transparency and security delivered.
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Hedge Fund Administration and
Private Equity Fund Services
ALPS Funds Services, Inc.
Atlantic Fund Services
1290 Broadway
Suite 1100
Denver, CO 80203
303-623-2577
Fax: 303-623-7850
Website: http://www.alpsinc.com
Email: lisa.mougin@alpsinc.com
3 Canal Plaza
Suite 600
Portland, ME 04101
207-347-2016
Website: http://www.atlanticfundservices.com
Email: jessica.chase@atlanticfundservices.com
Contact: Lisa B. Mougin, Senior Vice President, Director of Sales
and Client Relationship Management
ALPS, a DST company, offers a full-service partnership approach
to clients looking for customized service. Our services are designed
to meet your needs, and our consultative approach provides
an integrated, client-oriented alliance.
Clients experience a seamless extension of their workforce
as they outsource to ALPS. Our turnkey package includes
compliance, creative services, distribution, fund accounting, fund
administration, legal, marketing, shareholder servicing, tax, and
transfer agency services to open-end, closed-end, exchangetraded, private equity, and hedge funds. ALPS also offers a series
trust, providing advisers with a solution for bringing open-end
mutual funds to market in an efficient and cost-effective manner.
See our ad on the front inside cover.
Contact: Jessica Chase, Senior Vice President Business
Development
Atlantic provides comprehensive solutions for converting,
launching, and operating mutual funds, registered and
unregistered hedge funds, and other pooled investment vehicles.
We offer:
»»Consultative product design, conversion, and fund
start-up management
»»Expert fund administration and compliance
support, including best practices and cost management
strategies
»»Advanced fund accounting that supports accurate and timely
NAV calculations and reporting
»»Leading transfer agency services that provide clients,
intermediaries, and shareholders with focused expertise and
real-time data
Since our founding as Forum Financial Group in 1986, we have
provided innovative fund services and solutions that emphasize
quality, responsiveness, and compliance.
BNP Paribas
51 West 52nd Street
Floor 36
New York, NY 10019
212-841-2843
Website: http://securities.bnpparibas.com
Email: andrew.dougherty@us.bnpparibas.com
Contact: Andrew Dougherty, Managing Director and Head of
Alternative and Institutional Solutions
BNP Paribas offers an integrated solution that supports the
complete range of alternative investment fund requirements. Our
comprehensive offering includes the best-in-class asset servicing,
fund administration, and custody services you need to maximize
returns, minimize risk and manage your exposure.
By partnering with us, you benefit from expert technology,
designed specifically for hedge funds. Our innovative platform is
designed to support multiple fund types and strategies in multiple
jurisdictions. Working with BNP Paribas means you benefit from
the strength of our global brand and financial stability.
104
HEDGE FUND ADMINISTRATION AND PRIVATE EQUITY FUND SERVICES
Gemini Hedge Fund Services, LLC
SEI
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
888-499-1153
Website: http://www.geminihedge.com
Email: info@geminihedge.com
Oaks, PA 19456
610-676-1270
Contact: David Young, President
Gemini Hedge Fund Services, LLC (Gemini Hedge) provides
customized fund administration services to hedge funds, fund of
funds, and private equity funds.
Our comprehensive fund services include:
»»DTCC reporting
»»Broker dealer reporting
»»FATCA servicing
»»Distribution support
»»Risk reporting and analytics
»»Transfer agent services
»»Fund accounting
SEI offers world-class outsourcing services for hedge fund and
private equity managers who desire daily portfolio processing
and reporting capabilities, including independent valuation, trade
capture, reconciliation, and portfolio analytics, in addition to
investor servicing, middle-office services, fund administration, and
fund accounting.
SEI’s operating environment incorporates automation and
controls, operational risk reporting, and workflow technology to
help managers meet the growing demand for transparency, risk
mitigation, and daily reporting being placed on them by their
institutional clients. Our expertise and innovative technologies
enable us to support the specific needs of hedge funds, funds
of funds, private equity funds, managed account structures, and
registered investment products.
We offer extensive experience to fund managers, investment
advisors, trading managers, banks, and other fund intermediaries
through a fully customizable solution. Designed to provide
optimum services, we enable managers to meet the requirements
of investors and regulatory bodies. We offer services ranging from
middle/back-office duties to comprehensive financial reporting
and all aspects of investor services.
Northern Trust
50 South LaSalle Street
Chicago, IL 60603
312-444-5655
Website: http://www.northerntrust.com/fundservices
Email: mb147@ntrs.com
Contact: Michael Blake, Senior Vice President
Northern Trust is a leading provider of administrative and
outsourced services for the alternative investment industry.
Supporting multiple fund structures and asset classes in
jurisdictions around the globe, Northern Trust offers innovative,
effective, and scalable solutions coupled with market-leading
technology.
Access a wide range of fund administration and middle-office
solutions through our full-service, front-to-back operating
model that can support any asset or strategy with unparalleled
flexibility in data management and reporting. Northern Trust
additionally provides regulatory support in a highly controlled riskmanagement environment.
Choose Northern Trust to receive tailored services, global scale,
and superior service built around you.
Northern Trust is the proud winner of the Private Equity
Administrator of the Year, Custody Risk Magazine Americas
Awards, 2015.
105
HEDGE FUND ADMINISTRATION AND PRIVATE EQUITY FUND SERVICES
UMB Fund Services
2225 Washington Boulevard
Ogden, UT 84401
801-737-4000
UMB Fund Services is ready to serve your needs.
We provide complete alternative investment services for:
»»Domestic partnerships
»»Master-feeder funds
»»Funds of funds—registered/unregistered
»»Offshore funds
»»Private equity
Services include:
»»Product formation assistance
»»Fund administration
»»Portfolio accounting
»»Investor accounting and reporting
»»Tax preparation and reporting
»»Custody
»»Registered fund regulatory administration
»»Board support
»»Regulatory filings
»»Compliance testing
»»RIC-qualified tax services
We combine expertise, high-touch service, leading-edge
technology, and the stability of a highly capitalized parent that has
been around for 100+ years.
106
Hedge Fund Services
Confluence
Foreside
600 River Avenue
Pittsburgh, PA 15212
412-697-4306
Website: http://www.confluence.com/en-us/solutions/product.
php?Unity-NXT-Form-PF-Reporting-12
Email: jtesla@confluence.com
Three Canal Plaza
Suite 100
Portland, ME 04101
207-553-7110
Fax: 207-553-7151
Website: http://www.foreside.com
Email: dwhitaker@foreside.com
Contact: Joan Tesla, Vice President of Marketing Communications
Confluence has been solving challenging data integration and data
reporting problems for the alternative investment industry for
more than a decade. As a leading provider of Form PF and AIFMD
reporting solutions, our experience and technology provide a costeffective response to the complexity of the AIFMD Transparency
Reporting and Form PF regulatory requirements. Our technologyenabled Unity NXT™ AIFMD Transparency Reporting and Unity
NXT™ Form PF Reporting solutions ensure completeness, accuracy,
and control over the entire reporting process. We enable disparate
departments to share, complete, and review each answer, each
section, and the entire filing with a full audit trail.
DST Systems, Inc.
1055 Broadway
Kansas City, MO 64105
646-417-3120
Website: http://www.dstsystems.com/
alternatives
Email: rlholloway@dstsystems.com
Contact: Robyn Holloway, Vice President, Sales
Contact: David M. Whitaker, President
Foreside delivers a suite of distribution and regulatory compliance
services to clients in the investment management industry. We
serve sponsors of open-end, closed-end, exchange-traded, and
alternative investment products, including commodity pools. Our
solutions allow clients to focus on asset management without
sacrificing distribution and compliance best practices.
»»Statutory and active distribution
»»Registered representative licensing and compliance
»»Marketing material review
»»Exchange-traded product services
»»Private placement services
»»Hedge fund compliance
»»Fund and adviser CCO services
»»Treasurer services
»»AML officer services
»»Compliance and distribution consulting
»»NFA member services
Organizations in the financial services market are increasingly
looking to strengthen their position within the alternatives market
by growing new assets.
DST supports our clients in delivering new products, satisfying
investor needs, and reducing operational risk for the following:
»»Closed-end interval funds
»»Listed and non-listed REITs
»»Business development corporations
»»Managed futures
»»Retail alternative products
Our service models can be tailored for bringing new products to
market and supporting existing product portfolios.
DST helps organizations master the complexity of ever-changing
customer, business, and regulatory requirements with strategic
advisory, technology, and business process outsourcing
capabilities.
107
HEDGE FUND SERVICES
Gemini Hedge Fund Services, LLC
UMB Fund Services
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
888-499-1153
Website: http://www.geminihedge.com
Email: info@geminihedge.com
2225 Washington Boulevard
Ogden, UT 84401
801-737-4000
Contact: David Young, President
Gemini Hedge Fund Services, LLC (Gemini Hedge) provides
customized fund administration services to hedge funds, fund of
funds, and private equity funds.
Our comprehensive fund services include:
»»DTCC reporting
»»Broker dealer reporting
»»FATCA servicing
»»Risk reporting and analytics
»»Transfer agent services
»»Fund accounting
We offer extensive experience to fund managers, investment
advisors, trading managers, banks, and other fund intermediaries
through a fully customizable solution. Designed to provide
optimum services, we enable managers to meet the requirements
of investors and regulatory bodies. We offer services ranging from
middle/back-office duties to comprehensive financial reporting
and all aspects of investor services.
SEI
Oaks, PA 19456
610-676-1270
UMB Fund Services is ready to serve your needs.
We provide complete alternative investment services for:
»»Domestic partnerships
»»Master-feeder funds
»»Funds of funds—registered/unregistered
»»Offshore funds
»»Private equity
Services include:
»»Product formation assistance
»»Portfolio accounting
»»Investor accounting and reporting
»»Tax preparation and reporting
»»Custody
»»Registered fund regulatory administration
»»Board support
»»Regulatory filings
»»Compliance testing
»»RIC-qualified tax services
We combine expertise, high-touch service, leading-edge
technology, and the stability of a highly capitalized parent that has
been around for 100+ years.
SEI offers comprehensive alternative investment administration,
accounting, investor servicing, trustee, and custody services.
We service key domiciles, including the United States, Ireland,
the Cayman Islands, the British Virgin Islands, and the Bahamas.
We have the expertise to support the specific needs of hedge
funds, funds of hedge funds, private equity funds, and registered
alternative investment products.
Our team has extensive conversion expertise and integrates
solutions for the most complex and sophisticated investment
platforms in the industry. Our level of experience helps us support
the products of today as well as the innovations of tomorrow.
108
HEDGE FUND SERVICES
414-765-5678
800-300-3863
Fax: 866-624-7095
Our support services are designed to meet the unique needs of
complex products, and our extensive network provides clients
the resources and support they need to focus on investment
management and portfolio performance. Our alternative
investments expertise includes the product design and servicing
of the spectrum of alternative investments, including hedge funds,
funds of funds, limited partnerships, offshore funds, private equity
funds, and separately managed accounts. We offer a full range of
services for funds:
»»Portfolio and fund accounting
»»Onshore and offshore investor services
»»Registered office and corporate secretarial services
»»Tax support
»»Middle office
»»Technology
»»Custody services
»»Treasury services
109
Imaging
DST Systems, Inc.
330 West Ninth Street
816-843-8628
Website: http://www.dstsystems.com
Email: awdinfo@dsttechnologies.com
Contact: Scott Winzeler, Global Sales Officer
Today, managing customer requests requires multiple people
across multiple departments, information from several systems,
and potentially numerous touch points with customers. Increasing
regulations, compliance issues, and security risks can prevent an
organization from concentrating on what ultimately matters—the
customer.
DST helps ensure that vital interactions happen seamlessly. Our
intelligent business process management (iBPM) solution, aligns
people, systems, and departments to:
»»Enhance customer experience
»»Increase efficiency and optimize resources
»»Adapt to regulatory changes and market trends
»»Improve visibility into operations
capabilities.
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Independent Director and Trustee Representation
Blank Rome LLP
Davis Polk
The Chrysler Building
405 Lexington Avenue
New York, NY 10174
212-885-5239
Fax: 212-885-5001
Website: http://www.blankrome.com
Email: twestle@blankrome.com
New York, NY 10017
212-450-4684
Fax: 212-701-5684
Website: http://www.davispolk.com
Email: nora.jordan@davispolk.com
Contact: Thomas R. Westle, Partner
Blank Rome’s investment management practice includes
representation of open-end and closed-end investment
companies, business development companies, independent
boards of directors/trustees, investment advisers, private
investment funds, hedge funds and venture capital funds, and
underwriters with respect to securities offerings by closed-end
investment companies and business development companies.
The firm’s representation includes preparation of registration
statements, private offering materials, proxy statements, stock
exchange listing applications, adviser registrations, merger and
acquisition matters, regulatory compliance matters, applications
for exemptive orders, requests for no-action letters, and tax and
ERISA matters. Blank Rome provides advice with respect to the
organization and structure of investment companies, private
investment funds, and investment advisers, and assists clients in
developing innovative investment products.
Contact: Nora M. Jordan, Partner
Davis Polk’s Investment Management Group represents mutual
funds, exchange-traded funds, closed-end funds, unit investment
trusts, business development companies, private funds, and
their advisers, sponsors, underwriters, and directors. Among the
types of matters on which we regularly work are the design and
initial offering of innovative new products, filings with regulatory
agencies, internal compliance programs, applications for
exemptions and no-action letters, and advice to boards of funds
concerning their oversight responsibilities for fund compliance
with the Investment Company Act and other regulatory regimes.
Our broad experience includes, in addition to traditional mutual
funds, advising on registered funds that invest in hedge funds
and exchange-traded funds. We were also a pioneer in the
development of unit investment trusts.
Carlton Fields Jorden Burt
1025 Thomas Jefferson Street, NW
Suite 400 East
Washington, DC 20007-5208
202-965-8139
Fax: 202-965-8104
Website: http://www.CFJBLaw.com
Email: clunde@cfjblaw.com
Contact: Chip Lunde, Shareholder
Carlton Fields Jorden Burt represents registered mutual
funds, independent directors and trustees, private investment
companies, investment advisers, broker-dealers, and life insurance
companies. Mutual funds that serve as funding vehicles for
variable annuities and life insurance products are a special area
of focus. With extensive experience in formation, operational,
compliance, and distribution matters, Carlton Fields Jorden Burt
attorneys also represent clients in litigation and arbitration matters
and have served as expert witnesses in litigation and as SECapproved independent consultants in connection with regulatory
enforcement matters.
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INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION
Drinker Biddle & Reath LLP
Goodwin Procter LLP
One Logan Square
Suite 2000
Philadelphia, PA 19103-6996
215-988-2700
Fax: 215-988-2757
Website: http://www.drinkerbiddle.com
Email: Joshua.Deringer@dbr.com
901 New York Avenue, NW
Washington, DC 20001
202-346-4515
Website: http://www.goodwinprocter.com
Email: rkurucza@goodwinprocter.com
Contact: Joshua B. Deringer, Partner and Chair of Investment
Management Group
Drinker Biddle’s investment management lawyers thrive on helping
onshore and offshore clients with strategic thinking and innovative
solutions to legal issues. We represent:
»»Independent directors/trustees
»»Investment companies
»»Investment advisers
»»Exchange-traded funds
»»Hedge funds (registered and unregistered)
»»Commodities advisers and pools
»»Private equity funds
»»Broker-dealers
»»Banks and trust companies
»»Insurance companies
Our services include:
»»Independent director/trustee representation
»»Registration, operation, and reorganization of investment
companies (including ETFs)
»»Liquid alternatives and derivatives
»»Variable annuity and insurance products
»»ERISA, tax, and fiduciary services
»»Mutual fund litigation
»»Governmental investigations and proceedings
»»Regulatory compliance
Contact: Robert M. Kurucza, Partner and Co-Chair, Financial
Institutions
Exchange Place
53 State Street
Boston, MA 02109
617-570-1000
Email: pnewman@goodwinprocter.com
Contact: Philip H. Newman, Partner and Chair of Investment
Management
With over 40 years of experience representing mutual funds,
independent directors, banks, investment advisers, insurance
companies, broker dealers, and other fund service providers,
Goodwin Procter is recognized as one of the nation’s leading
law firms in the investment management industry. We are
renowned for our work on some of the most complex deals in
the marketplace, including public and private acquisitions and
financing transactions, and multi-faceted internal reorganizations,
as well as for defending high stakes regulatory investigations and
mutual fund class action litigations. We are consistently ranked
by Chambers for our leading investment management attorneys,
with clients pointing to our “vast experience, depth of knowledge,
and very good judgment as being [our] main strengths,” and
recognized for how we deliver value by being “proactive and
business-minded.”
See our ad on page 113.
We provide practical and creative solutions, responsive service,
and value.
112
K&L Gates LLP
Austin, TX
Beijing
Berlin
Boston, MA
Chicago, IL
Dubai
Fort Worth, TX
Frankfurt
GOOD
CHOICE
Hong Kong
London
Los Angeles, CA
Melbourne
Milan
New York, NY
Pittsburgh, PA
Raleigh, NC
San Francisco, CA
Seattle, WA
Singapore
Sydney
Taipei
Tokyo
Washington, DC
Website: http://www.klgates.com
With an exceptional depth of knowledge and experience, the
lawyers of K&L Gates are leading the way in supporting directors/
trustees and their funds in this challenging, evolving, and highly
regulated industry. K&L Gates’ work for fund directors/trustees
includes counseling on their duties under the Investment Company
Act of 1940; investment adviser issues; advice on special
regulatory issues that rely on independence; and representation in
connection with SEC enforcement actions or civil litigation.
For more information about our practice, including a full
description of our services and biographies of our lawyers, please
visit our website at www.klgates.com.
Financial services companies count on us
for proactive legal counsel and practical
advice. We provide innovative solutions
to complex challenges, helping clients
structure corporate transactions and meet
regulatory requirements. When time is
short and industry depth matters, Goodwin
Procter brings a wealth of experience.
Bank-Maintained Funds
Class Action Litigation Defense
Cross-Border Offerings
Hedge Funds
Insurance Product Funds
Mutual Funds
Offshore Funds
Open and Closed-End Funds
Regulatory Compliance
Regulatory Investigations
Representation of Independent Directors
Retail Advisory Products
To find out more about Goodwin Procter,
visit us at www.goodwinprocter.com
Boston | Hong Kong | London | Los Angeles | New York
San Francisco | Silicon Valley | Washington DC
113
McCarter & English
BNY Mellon Center
1735 Market Street
Suite 700
Philadelphia, PA 19103
215-979-3840
267-761-2073
Website: http://www.mccarter.com
Email: lcorsell@mccarter.com
Contact: Laura Anne Corsell, Partner
McCarter’s investment management attorneys counsel registered
investment companies and alternative vehicles, including
private equity, hedge, and venture capital funds, with respect
to all aspects of federal and state securities regulation. Our
expertise extends beyond these core areas, encompassing ERISA,
insurance coverage, cybersecurity, service provider oversight,
and outsourcing. We represent independent directors with
respect to their responsibilities under the federal securities laws,
supported by a litigation team that has successfully represented
mutual funds and financial services companies in connection with
advisory fees cases, market-timing investigations, and similar
matters. Our attorneys have served as independent compliance
consultants in connection with federal and state settlement orders,
conducted compliance audits, and worked with clients on a full
spectrum of transactional matters involving registered investment
companies and their service providers, including fund formation
and the design of innovative investment products, preparation
of registration statements, mergers and acquisitions, proxy
statements, applications for exemptive orders, and no-action
letters.
Morrison & Foerster
250 West 55th Street
18th Floor
New York, NY 10019-9601
212-468-8053
Website: http://www.mofo.com
Email: jbaris@mofo.com
Contact: Jay G. Baris, Partner
We deliver innovative, practical solutions to complex issues
involving registered and un-registered funds and advisers,
closed-end funds, business development companies, and
exchange-traded products. MoFo advises U.S. and non-U.S.
investment advisers regarding their registration, disclosure, and
compliance obligations. We counsel all types of pooled investment
vehicles, including private funds, commodity pools, venture
capital, mezzanine, and infrastructure, and we proactively advise
mutual fund independent directors on all aspects of their fiduciary
responsibilities.
Our investment management practice and attorneys are
recognized by Chambers, The Legal 500 and the U.S. News Best
Lawyers “Best Law Firms” guide.
Creative Solutions
in Challenging Times
Global financial services organizations choose Drinker Biddle
investment management lawyers for business-oriented solutions
to the full range of issues that they confront. As leaders in our field,
we provide novel solutions and seasoned counsel for investment
management enterprises on complex and, at times, unprecedented
business and regulatory issues.
www.drinkerbiddle.com
CALIFORNIA | DELAWARE | ILLINOIS | NEW JERSEY
NEW YORK | PENNSYLVANIA | WASHINGTON DC | WISCONSIN
Drinker Biddle & Reath LLP. A Delaware limited liability partnership.
114
Patricia C. Foster, Esq. PLLC
Seward & Kissel LLP
170 Van Voorhis Road
Pittsford, NY 14534
585-387-9000
Website: http://www.investmentlawny.com
Email: pcfoster@investmentlawny.com
901 K Street, NW
202-737-8833
Fax: 202-737-5184
Website: http://www.sewkis.com
Email: clarke@sewkis.com
Contact: Patricia C. Foster, Principal
The firm provides comprehensive legal services to mutual funds
and independent trustees on both general and complex regulatory
matters, with an emphasis on governance, compliance and risk
management. Patricia Foster founded the firm in 2005 after
substantial industry experience, including experience with a large
investment company complex. Ms. Foster assisted the National
Society of Compliance Professionals (NSCP) in the development
of its Certified Securities Compliance Professional (CSCP®)
program, and is a recipient of the CSCP® designation. Ms. Foster
is a member of the editorial board of Practical Compliance and
Risk Management for the Securities Industry, a Wolters Kluwer
publication. Contact: Kathleen K. Clarke, Counsel
Email: millerp@sewkis.com
Contact: Paul M. Miller, Partner
Email: strench@sewkis.com
Contact: Bibb L. Strench, Counsel
Email: nuland@sewkis.com
Contact: Anthony C.J. Nuland, Partner
We provide a full range of regulatory, corporate, ERISA, tax,
capital markets, transactional, and litigation services for a large
number and wide variety of investment companies, including
registered open-end and closed-end funds, exchange-traded
funds, hedge funds, private equity funds, and offshore funds.
We work with clients in the areas of formation and registration,
compliance with federal and state regulation, domestic and
international investing, mergers and acquisitions, compliance
audits, investigations, and enforcement action. We act as counsel
to the independent directors of registered investment companies
and advise public and private investment advisers, underwriters,
custodians, transfer agents, administrators, and other service
providers to registered and unregistered investment companies.
McCARTER & ENGLISH, LLP
• IndependentDirectors
• MutualFunds
• AlternativeInvestments
• InvestmentAdvisersandBroker-Dealers
• PrivateEquity,HedgeandVenture
CapitalFunds
2005 Market Street
Suite 2600
215-564-8115
215-564-8000
Website: http://www.stradley.com
Email: bleto@stradley.com
Contact: Bruce Leto, Partner
Laura Anne Corsell
Philadelphia | 215.979.3840 | lcorsell@mccarter.com
Don E. Felice
Philadelphia | 215.979.3884 | dfelice@mccarter.com
Theodore M. Grannatt
Boston | 617.449.6599 | tgrannatt@mccarter.com
Joel E. Horowitz
Philadelphia | 215.979.3830 | jhorowitz@mccarter.com
Anthony Zaccaria
New York | 212.609.6904 | azaccaria@mccarter.com
www.mccarter.com
Stradley Ronon Stevens & Young, LLP
BOSTON
HARTFORD
STAMFORD
NEW YORK
NEWARK
EAST BRUNSWICK
PHILADELPHIA
WILMINGTON
WASHINGTON, DC
Counseling clients since 1928, Stradley Ronon’s Investment
Management Group serves as independent legal counsel to
investment company independent directors/trustees, along
with its representation of retail and institutional investment
companies marketing shares through every distribution channel.
We maintain one of the premier investment management
practices in the nation, representing investment company clients
with more 1,000 separate funds and assets under management
exceeding $2 trillion. We also counsel investment advisers, hedge
fund sponsors, managers, administrators, and underwriters/
distributors, and act as special counsel to other law firms with
regard to complex issues arising under the Investment Company
Act of 1940. www.stradley.com.
115
SEWARD & KISSEL LLP
WE BELIEVE IN PRACTICAL SOLUTIONS
WE OFFER COST-EFFECTIVE LEGAL SERVICES
WE DELIVER
Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international
reputation for excellence. We are regularly cited as one of the leading legal advisers to the
financial services industry and are recognized both nationally and internationally for our work
with investment funds.
We have over 50 attorneys dedicated to providing services to our investment management
clients. We represent a broad client base ranging from large investment company complexes to
single funds.
We have decades of experience in all areas of investment management, including:
■
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■
■
■
■
Mutual Funds
Closed-End Funds
Offshore Funds
Exchange-Traded Funds
Funds of Funds Arrangements
Fund Service Providers
Master-Feeder Funds
Reorganizations and Mergers
529 Plans
■ SEC Exemptive Orders and No-Action
■
■
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Letters
Hedge Funds and Private Equity Funds
Alternative Investment Funds
Investment Advisers
Regulatory Compliance
ERISA
Tax
SEC Staff Inspections and Enforcement
Actions
******
For more information about our Investment Management Practice, please visit
www.sewkis.com or contact one of the following members of our Investment Management
Practice Group.
Washington, DC
Kathleen K. Clarke
Paul M. Miller
Anthony C.J. Nuland
Bibb L. Strench
116
(202) 737-8833
(202) 737-8833
(202) 737-8833
(202) 737-8833
New York
Patricia A. Poglinco
John E. Tavss
Steve Nadel
(212) 574-1247
(212) 574-1261
(212) 574-1231
Stroock & Stroock & Lavan LLP
Thompson Hine LLP
180 Maiden Lane
New York, NY 10038
212-806-6049
Fax: 212-806-6006
Website: http://www.stroock.com
Email: scoleman@stroock.com
312 Walnut Street
14th Floor
Cincinnati, OH 45202-4089
513-352-6546
Website: http://www.thompsonhine.com
Email: don.mendelsohn@thompsonhine.com
Contact: Stuart H. Coleman, Co-Managing Partner
Contact: Donald S. Mendelsohn, Partner
Stroock represents nearly 850 investment companies—or their
independent board members—with approximately $1.4 trillion in
assets under management (over 7.5% of U.S. investment company
assets), as well as U.S. and non-U.S. asset managers and other
service providers. Over the last 60 years, we have assisted with
the formation, operation and oversight of mutual funds (including
variable products), ETFs, closed-end funds, BDCs, hedge funds,
private equity funds and other investment vehicles. Our integrated
practice provides expertise in commodities and derivatives, ERISA,
intellectual property, litigation and tax. Thompson Hine investment management lawyers provide
outstanding legal services and a wealth of experience to a wide
range of clients, including investment companies and advisers,
broker-dealers, domestic and offshore hedge funds, fund service
providers, and independent directors and trustees. We offer
innovative solutions for entering the industry, developing new
products and services, expanding business through strategic
planning and acquisition, keeping abreast of regulatory and
industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in
Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and
Washington, DC.
Our practice representing independent directors/trustees is one
of the most well-regarded in the country. We advise independent
directors/trustees of almost every type of fund, including those
that are part of the industry’s largest fund complexes. We have
a deep working knowledge of the statutory and regulatory
landscape governing funds and their independent directors/
trustees. We regularly counsel clients on their statutory, fiduciary
and oversight duties and responsibilities. We also have significant
experience with special representations in connection with SEC
investigations and enforcement actions, as well as civil litigations. We work with clients to develop sound, practical and businessoriented solutions. Stroock regularly receives nationwide industry
recognition from various publications including Chambers USA,
The Legal 500 United States and The Best Lawyers in America®.
Sutherland Asbill & Brennan LLP
700 Sixth Street, NW
Suite 700
202-383-0100
Website: http://www.sutherland.com
Email: steve.roth@sutherland.com
Contact: Stephen E. Roth, Partner
Sutherland Asbill & Brennan LLP has a comprehensive investment
management practice. Our clients include open- and closed-end
funds, business development companies (BDCs), unit investment
trusts (UITs), exchange-traded funds (ETFs), 529 plans, and
funds underlying insurance products. We also represent private
investment funds and clients that distribute investment funds,
including broker-dealers, banks, and insurance companies, and
investment advisers who manage these funds. Sutherland advises
clients on all aspects of capital formation, corporate governance,
compliance, tax, ERISA, and litigation matters. Founded in 1924,
the firm has offices in Washington, DC; New York; Atlanta;
London; Geneva; Houston; Austin; and Sacramento.
Vedder Price P.C.
222 North LaSalle Street
Chicago, IL 60601
312-609-7500
Fax: 312-609-5005
Website: http://www.vedderprice.com/
investment-services-client-services/
Email: dsturms@vedderprice.com
Contact: David A. Sturms, Shareholder and Chair, Investment
Services Group
Vedder Price offers one of the nation’s premier legal practices
focused on counseling independent directors/trustees. Our
attorneys work closely with independent directors of mutual
funds, closed-end funds, and ETFs, counseling them on their
duties under the law and providing advice on insurance,
indemnification, and other matters of particular interest to
independent directors. Our clients include independent directors
serving a wide range of funds, from start-ups to multibilliondollar fund families. In addition to board-related counseling,
we represent independent directors in litigation, government
enforcement, and investigations.
117
Independent Director and Trustee
Information Services
Strategic Insight
805 Third Avenue
21st Floor
New York, NY 10022
212-217-6938
Website: http://www.sionline.com
Email: aburke@sionline.com
Contact: Allana Burke, Vice President, Corporate Accounts
For almost 30 years, Strategic Insight (SI) has been at the
forefront of thorough, unbiased global fund industry research and
business intelligence. We offer the most comprehensive, accurate
global fund information available to help our clients direct their
efforts wisely to grow their businesses.
SI’s Board Services supports management and board of directors’
compliance and due diligence efforts by combining data,
perspective, focus, and studies, resulting in unmatched insight and
analytics. Strategic Insight is uniquely structured for this service,
as its analysts benefit from extensive knowledge of the fund
industry, a decade of in-depth fee research, comprehensive fee
databases, and monitoring of all SEC filings (www.simfundfiling.
com). Services include 15(c) advisory contract renewal reports,
on-demand fee research, fee and expense benchmarking, and
fact-based research studies on related topics.
Examples of Custom Fee Analysis:
»»Contractual advisory fee breakpoint analysis
»»Contractual advisory fee category benchmarking
»»Sub-advised funds: Benchmarking economies of scale
»»Management fee analysis
»»Board compensation and structure
»»Funds closed to new investors and 12b-1 fees
»»Performance-based advisory fees
Strategic Insight is an Asset International company. Asset
International brands include Strategic Insight, SIMFUND, Plan For
Life, Investor Economics, LiquidMetrix, FWW, PLANSPONSOR,
PLANADVISER, Chief Investment Officer, Global Custodian, and
The Trade.
118
Insurance and Insurance Services
Crystal & Company
Financial Square
32 Old Slip
New York, NY 10005
212-504-5919
800-221-5830
Fax: 212-504-1899
Website: http://www.crystalco.com
Email: sandy.crystal@crystalco.com
Contact: Sanford F. Crystal, Executive Vice President
Crystal & Company is a leading strategic risk and insurance
advisor, addressing clients’ risk management, insurance
brokerage, and employee benefits consulting needs.
Crystal & Company’s Financial Institutions Group services a wide
range of financial and professional service clients, including
accounting firms, broker/dealers, commercial banks, hedge funds,
investment advisors, investment banks, investment managers, law
firms, mutual funds, real estate investment trusts, and venture
capital and private equity firms. The unit provides comprehensive
professional liability, fidelity, and property and casualty insurance
brokerage services and solutions.
Depository Trust & Clearing Corporation,
The (DTCC)
55 Water Street
New York, NY 10041
212-855-5662
Website: http://www.dtcc.com/wealthmanagement
Email: jkiernan@dtcc.com
Contact: James Kiernan, Vice President, Relationship Management
DTCC Wealth Management Services (WMS) delivers a broad
range of innovative transaction and information services to the
mutual fund, alternative investment products, insurance, and
retirement markets. Our solutions connect asset managers with
their distributors by automating, standardizing, and centralizing
processes, creating efficiencies while reducing cost and risk.
Mutual Fund Services delivers processing capacity and flexibility
to facilitate business growth and meet the data, communication,
and compliance requirements of the mutual fund marketplace.
Alternative Investment Products provides one standard, efficient,
end-to-end process for alternative investments, including hedge
funds, funds of funds, private equity, non-traded real estate
investment trusts, managed futures, and limited partnerships.
Insurance and Retirement Services streamlines the processing
of annuities, life insurance, and other insurance products
with unparalleled low-cost infrastructure solutions that bring
efficiencies to clients and the insurance marketplace as a whole.
WMS is offered through DTCC’s National Securities Clearing
Corporation subsidiary.
119
INSURANCE AND INSURANCE SERVICES
DST Systems, Inc.
ICI Mutual Insurance Brokers, Inc.
330 West Ninth Street
816-843-8628
Email: awdinfo@dsttechnologies.com
1401 H Street, NW
Suite 1000
800-334-2462
Fax: 202-682-2425
Website: http://www.icimutual.com
Email: davis@icimutual.com
Contact: Scott Winzeler, Global Sales Officer
Insurance organizations spend a great deal of time and resources
processing a huge volume of daily tasks, often on paper or with
inefficient and costly legacy systems. At the same time, customers
expect faster service and more product offerings, delivered across
multiple channels and devices.
Through outsourced technology, processing solutions, and
extensive data analytics, DST helps insurance companies transform
their claims and policy administration, customer onboarding, and
underwriting operations. DST provides powerful insights, helping
insurance clients become more efficient, customer centric, and
intelligent on handling regulatory breaches and security issues.
capabilities.
Contact: Briana Davis, Lead Broker
ICI Mutual Insurance Brokers, Inc. is a wholly owned subsidiary of
ICI Mutual Insurance Company, the captive insurer for the mutual
fund industry that is sponsored by the Investment Company
Institute.
Brokers places insurance coverages for investment advisers,
broker-dealers, transfer agents, and other participants in the
investment management industry that are members or associate
members of the Institute. Products include:
»»Investment advisers (non–mutual fund) insurance products
»»ERISA fidelity bonds
»»FINRA securities dealer blanket bonds and financial
institution bonds
»»State surety bonds
»»Lost instrument bonds
»»Mail insurance
»»Transfer agent coverages
»»Worker compensation
»»Other specialized coverages
ICI Mutual Insurance Brokers, Inc. is dedicated exclusively to
servicing the investment management industry.
120
INSURANCE AND INSURANCE SERVICES
Liftman Insurance, Inc.
Starkweather & Shepley Insurance
101 Federal Street
Boston, MA 02110-1827
617-439-9595 x1
Fax: 617-439-3099
Website: http://www.liftman.com
Email: mark@liftman.com
One University Avenue
Suite 188
Westwood, MA 02090-2161
781-234-0080
Fax: 401-431-9682
Website: http://www.starshepfi.com
Email: afotopulos@starshep.com
Contact: Mark S. Liftman, President
Liftman Insurance specializes in insurance for the investment
industry. The experienced professionals at Liftman Insurance
provide clients with superior service and knowledge. We offer the
following insurance coverage at competitive premiums:
»»Advisors Errors and Omissions Liability
»»Mutual Fund Errors and Omissions Liability
»»Securities Brokers Professional Liability
»»Hedge Fund Liability
»»ERISA Bonds
»»Directors and Officers Liability
»»State Surety Bonds
»»Fiduciary Liability
»»Computer Fraud
»»STAMP/SEMP Surety Bonds
»»Employment Practices Liability
»»Lost Securities Bonds
»»Fidelity and Pension Trust Bonds
»»Mutual Fund Independent Directors/Trustees Liability
»»Securities Dealers Fidelity Bonds
»»Data Security and Privacy Liability
»»Cyber Fraud Liability
Contact: Andrew J. Fotopulos, President
Starkweather & Shepley’s Investment Industry Practice Group
focuses on providing specialized risk management programs
designed for insuring financial institutions and personnel,
including investment advisers, investment management
consultants, mutual fund groups, hedge/private investment funds,
and securities broker/dealers.
Ranked by Business Insurance magazine as the 69th-largest
insurance brokerage in the world, Starkweather & Shepley has
offered insurance solutions since 1879.
Our Investment Industry Practice Group offers specialty coverages,
including:
»»Professional Liability (Errors and Omissions)
»»Directors and Officers Liability
»»ERISA Bonds
»»Fidelity Bonds
»»Broker/Dealer Bonds
»»Surety Bonds
»»Cyber Liability
»»Funds Transfer Fraud Coverage
»»Employment Practices Liability
Outside of our practice group, Starkweather & Shepley has
the means to service all of your insurance needs, including
your business owners policy (BOP), general liability, workers
compensation, and industry-leading employee benefits group.
121
Intermediary Compensation Management
and Oversight
Boston Financial Data Services, Inc.
Delta Data
2000 Crown Colony Drive
Quincy, MA 02169
888-772-2337
610-608-9518
Website: http://www.bostonfinancial.com/
fia
Email: gharris@bostonfinancial.com
700 Brookstone Centre Parkway
Suite 500
Columbus, GA 31904
914-414-2319
Fax: 706-596-8512
Website: http://www.deltadatasoft.com
Email: bbange@deltadatasoft.com
Contact: Gary Harris, Vice President, Sales
Contact: Bret Bange, Senior Vice President, Sales and Marketing
With the Financial Intermediary Administration (FIA ) suite of
services, you’re better positioned to understand and monitor your
intermediary activity. FIA combines online tools and technologies
leading to greater transparency, saving you time and resources.
The result is a comprehensive and cost-effective way to better
manage the relationships and oversight of your intermediaries. FIA
includes:
TM
»»FIRMport™: Enables proactive relationship monitoring and
event management through alerts, event monitoring, and
intermediary interactions
»»Payment administration: Automates and simplifies your
invoice validation, mitigating risk, and streamlining your
environment
122
Delta Data’s Oversight Solution provides full-visibility into
fund distribution for 22c-2 compliance fulfillment, omnibus fee
management, and omnibus distribution partner oversight, all
integrated with reporting and analytics.
Delta Data provides the back-end solutions that companies in
the mutual fund industry use to process and manage billions of
dollars of transactions and related data. Facing constant change
from regulatory, technology, industry, and internally—Delta Data
helps clients See the change, Get ahead of it, and Stay on course
without introducing them to new risks. The biggest names in
financial services rely on Delta Data to ensure they Stay ahead of
the change.
Investment Accounting and Portfolio
Management Systems
Milestone Group
SEI
225 Franklin Street
17th Floor
Boston, MA 02110
617-986-0300
Website: http://www.milestonegroup.com.au
Email: geoff.hodge@milestonegroup.com.au
Oaks, PA 19456
610-676-1270
Contact: Geoff Hodge, Chief Executive
Milestone Group is a global provider of investment technology
solutions for fund oversight, fund processing, fund distribution,
tax and accounting, and investment analytics.
Milestone Group’s pControl solution supports multiple business
functions and processes, integrating seamlessly with existing core
technologies and servicing today’s complex inter-funded product
structures and related business processes.
pControl is a single application platform delivering best practice
operational efficiency and control to investment managers,
platforms, life companies, banks, and fund administrators.
Innovative technological solutions have been the backbone of
SEI since it was founded in 1968, and technology continues to
be the primary driver behind all of our service offerings. One
of our competitive advantages is our investment in awardwinning, top-tier accounting systems. Our accounting systems are
integrated with one another; this approach to technology means
that we have an extremely flexible and scalable platform that is
specialized for various investment strategies and products. SEI’s
goal is to provide a collaborative platform to our clients with both
operational expertise and technology that can integrate to meet
the changing market.
Clients can select standard or tailored solutions overcoming issues
arising from limitations of existing core technologies, satellite
systems, spreadsheets, and manual processes.
Multifonds
100 High Street
15th Floor
Boston, MA 02110
617-603-9400
Website: http://www.multifonds.com/?utm_source=ICI&utm_
medium=directory&utm_campaign=2016
Email: lior.yogev@multifonds.com
Contact: Lior Yogev, Head of North America
Multifonds, a Temenos company, is the award-winning investment
software providing fund accounting, portfolio accounting and
investor servicing, and transfer agency on a single platform. Today
more than $5 trillion in assets for both traditional and alternative
funds are processed on Multifonds in more than 30 jurisdictions for
the world’s leading global custodians, third-party administrators,
insurance companies, and asset managers.
Multifonds Global Accounting combines the Investment Book of
Records (IBOR) and Accounting Book of Records (ABOR) for fund
and portfolio accounting supporting the complex needs of the
middle office, including start-of-day and on-demand valuations for
the IBOR, and daily, weekly, and monthly net asset value (NAV)
calculations for the ABOR.
123
Investment Banking Services
Berkshire Capital Securities LLC
535 Madison Avenue
19th Floor
New York, NY 10022
212-207-1000
Fax: 212-207-1019
Website: http://www.berkcap.com
Email: bcameron@berkcap.com
Contact: R. Bruce Cameron, President and CEO
Berkshire Capital is a global boutique employee-owned investment
bank specializing in M&A and valuations in the asset management
and securities industries. We are recognized as a leading expert in
the wealth management, money management, alternatives, real
estate, and broker/dealer industries. Headquartered in New York,
we have partners located in San Francisco, Denver, Philadelphia,
London, Sydney, and Frankfurt.
Berkshire Capital has advised buyers and sellers, both foreign
and domestic, on more than 310 completed transactions. These
transactions have involved a transfer of more than $960 billion of
assets under management with an aggregate value of more than
$13.4 billion. Berkshire Capital has also completed more than 260
independent valuations/strategic advisory assignments.
Member, FINRA/SIPC
124
Investment Software for Investment Companies
Milestone Group
225 Franklin Street
17th Floor
Boston, MA 02110
617-986-0300
Website: http://www.milestonegroup.com.au
Email: geoff.hodge@milestonegroup.com.au
Contact: Geoff Hodge, Chief Executive
Milestone Group is a global provider of investment technology
solutions for fund oversight, fund processing, fund distribution,
tax and accounting, and investment analytics.
Milestone Group’s pControl solution supports multiple business
functions and processes, integrating seamlessly with existing core
technologies and servicing today’s complex inter-funded product
structures and related business processes.
pControl is a single application platform delivering best practice
operational efficiency and control to investment managers,
platforms, life companies, banks, and fund administrators.
Clients can select standard or tailored solutions overcoming issues
arising from limitations of existing core technologies, satellite
systems, spreadsheets, and manual processes.
125
Legal Counsel
Blank Rome LLP
Davis Polk
The Chrysler Building
New York, NY 10174
212-885-5239
Fax: 212-885-5001
Website: http://www.blankrome.com
Email: twestle@blankrome.com
New York, NY 10017
212-450-4684
Fax: 212-701-5684
Website: http://www.davispolk.com
Email: nora.jordan@davispolk.com
Contact: Thomas R. Westle, Partner
Blank Rome’s investment management practice includes
representation of open-end and closed-end investment
companies, business development companies, independent
boards of directors/trustees, investment advisers, private
investment funds, hedge funds and venture capital funds, and
underwriters with respect to securities offerings by closed-end
investment companies and business development companies.
The firm’s representation includes preparation of registration
statements, private offering materials, proxy statements, stock
exchange listing applications, adviser registrations, merger and
acquisition matters, regulatory compliance matters, applications
for exemptive orders, requests for no-action letters, and tax and
ERISA matters. Blank Rome provides advice with respect to the
organization and structure of investment companies, private
investment funds, and investment advisers, and assists clients in
developing innovative investment products.
Chapman and Cutler, LLP
111 West Monroe Street
Chicago, IL 60603
312-845-3781
312-701-2361
Website: http://www.chapman.com/
Email: fess@chapman.com
Contact: Eric Fess, Partner
Chapman and Cutler’s investment management practice involves
representation of investment advisors and registered investment
companies, including exchange-traded funds (ETFs), open-end
and closed-end funds, and unit investment trusts. In addition,
Chapman represents independent directors and trustees of fund
complexes. As part of its broad investment management practice,
Chapman also provides advice to broker-dealers in connection
with the offer and sale of investment products. The firm is also
involved in various transactions, including derivatives, fund
mergers/reorganizations, fund borrowings and leverage, asset
securitization, and defaulted securities workouts. Chapman also
represents sponsors of and investors in private funds.
126
Contact: Nora M. Jordan, Partner
Davis Polk’s Investment Management Group represents mutual
funds, exchange-traded funds, closed-end funds, unit investment
trusts, business development companies, private funds, and
their advisers, sponsors, underwriters, and directors. Among the
types of matters on which we regularly work are the design and
initial offering of innovative new products, filings with regulatory
agencies, internal compliance programs, applications for
exemptions and no-action letters, and advice to boards of funds
concerning their oversight responsibilities for fund compliance
with the Investment Company Act and other regulatory regimes.
Our broad experience includes, in addition to traditional mutual
funds, advising on registered funds that invest in hedge funds
and exchange-traded funds. We were also a pioneer in the
development of unit investment trusts.
Debevoise & Plimpton LLP
555 13th Street, NW
202-383-8050
Fax: 202-383-8118
Website: http://www.debevoise.com
Email: kjberman@debevoise.com
Contact: Kenneth J. Berman, Partner
Debevoise & Plimpton LLP represents sponsors of U.S. registered
investment companies and their independent directors; sponsors
of business development companies; a wide range of domestic
and foreign investment advisers (including advisers affiliated with
banks and insurance companies); and sponsors of and investors
in domestic and foreign private equity, hedge and other types of
private investment funds. The firm has extensive experience in
acquisitions and dispositions of investment advisers. Our practice
also emphasizes internal reviews and compliance assessments,
enforcement and litigation matters, and offerings of listed and
unlisted investment products internationally.
LEGAL COUNSEL
Dechert LLP
1900 K Street, NW
202-261-3300
Fax: 202-261-3333
Website: http://www.dechert.com/financial_services/
Email: douglas.dick@dechert.com
Contact: Douglas Dick, Partner
1095 Avenue of the Americas
New York, NY 10036-6797
212-698-3500
Fax: 212-698-3599
Email: stuart.strauss@dechert.com
Contact: Stuart Strauss, Partner
One International Place
100 Oliver Street
40th Floor
Boston, MA 02110-2605
617-728-7100
Fax: 617-426-6567
Email: john.ohanlon@dechert.com
Contact: John O’Hanlon, Partner
2010 Main Street
Suite 500
Irvine, CA 92614
949-442-6000
Fax: 949-442-6010
Email: robert.robertson@dechert.com
Contact: Robert Robertson, Partner
One Bush Street
Suite 1600
San Francisco, CA 94104-4446
415-262-4500
Fax: 415-262-4555
Email: mark.perlow@dechert.com
Contact: Mark Perlow, Partner
Recently honored as “Mutual Fund Firm of the Year” by U.S.
News—Best Lawyers and winner of The Legal 500 (U.S.)’s 2014
Law Firm Award for mutual/registered funds, Dechert is a
leading adviser to financial services firms, asset managers, and
investment funds, representing clients ranging from small start-up
and boutique operations to some of the largest fund complexes
in the world. As the only law firm with offices in the key fund
jurisdictions of London, Dublin, and Luxembourg, our international
team advises on regulatory and compliance matters, investigations
by regulatory authorities, litigation, and the formation and
management of open- and closed-end funds, insurance products,
offshore funds, and hedge funds.
We assist funds and their advisers in connection with fund
organization and registration, and the development and
implementation of compliance and supervisory oversight
procedures. We provide advice regarding federal and state laws,
rules, and interpretative positions that may impact funds and their
investment advisers. We serve as transactional counsel and handle
regulatory issues in mergers and acquisitions of financial services
companies and funds. We also advise on complex derivatives
matters.
With approximately 170 financial services lawyers working
throughout 16 offices firm-wide (Boston, Hartford, Irvine, New
York, Philadelphia, San Francisco, Washington, Dublin, Frankfurt,
London, Luxembourg, Munich, Paris, Hong Kong, Dubai and
Singapore), Dechert is consistently recognized as a top law firm
for investment funds by a number of U.S., European, and Asian
publications.
Drinker Biddle & Reath LLP
One Logan Square
Suite 2000
215-988-2700
Fax: 215-988-2757
Website: http://www.drinkerbiddle.com
Email: Joshua.Deringer@dbr.com
Contact: Joshua B. Deringer, Partner and Chair of Investment
Management Group
Drinker Biddle’s investment management lawyers thrive on helping
onshore and offshore clients with strategic thinking and innovative
solutions to legal issues. We represent:
»»Investment companies
»»Investment advisers
»»Exchange-traded funds
»»Hedge funds (registered and unregistered)
»»Commodities advisers and pools
»»Private equity funds
»»Broker-dealers
»»Banks and trust companies
»»Insurance companies
Our services include:
»»Registration, operation, and reorganization of investment
companies (including ETFs)
»»Independent trustee representation
»»Liquid alternatives and derivatives
»»Variable annuity and insurance products
»»ERISA, tax, and fiduciary services
»»Mutual fund litigation
»»Governmental investigations and proceedings
»»Regulatory compliance
We provide practical and creative solutions, responsive service,
and value.
127
LEGAL COUNSEL
Foley & Lardner LLP
Goodwin Procter LLP
Milwaukee, WI 53202
414-271-2400
Fax: 414-297-4900
Website: http://www.foley.com
Email: pfetzer@foley.com
901 New York Avenue, NW
202-346-4515
Email: rkurucza@goodwinprocter.com
Contact: Peter Fetzer, Partner
Foley & Lardner LLP provides professional services throughout
the entire process of the planning, organization, registration,
and operation of investment companies, exchange-traded funds,
broker-dealers, hedge funds, commodities advisers and pools,
private equity funds, and investment advisers. We also advise and
counsel the boards of directors of investment advisers (public and
private), broker-dealers, and other service providers to investment
companies.
Contact: Robert M. Kurucza, Partner and Co-Chair, Financial
Institutions
Exchange Place
53 State Street
Boston, MA 02109
617-570-1000
Email: pnewman@goodwinprocter.com
Contact: Philip H. Newman, Partner and Chair of Investment
Management
With over 40 years of experience representing mutual funds,
independent directors, banks, investment advisers, insurance
companies, broker dealers, and other fund service providers,
Goodwin Procter is recognized as one of the nation’s leading
law firms in the investment management industry. We are
renowned for our work on some of the most complex deals in
the marketplace, including public and private acquisitions and
financing transactions, and multi-faceted internal reorganizations,
as well as for defending high stakes regulatory investigations and
mutual fund class action litigations. We are consistently ranked
by Chambers for our leading investment management attorneys,
with clients pointing to our “vast experience, depth of knowledge,
and very good judgment as being [our] main strengths,” and
recognized for how we deliver value by being “proactive and
business-minded.”
128
d
A top-ranked legal advisor
to the investing world
Many of the world’s leading investment managers and mutual funds rely on Dechert’s
experienced team of lawyers in the United States, Europe, Asia and the Middle East.
Tier 1 for investment funds: registered funds, since the publication’s inception.
“
Dechert sets a standard of excellence. I know
that if I reach out to Dechert, I will be dealing
with attorneys who are at the top of their field
and providing the best possible advice.
”
Chambers USA, 2015
To learn how Dechert can help you, please contact:
John V. O’Hanlon
Boston
+1 617 728 7111
john.ohanlon@dechert.com
Mark D. Perlow
San Francisco
+1 415 262 4530
mark.perlow@dechert.com
Stuart Strauss
New York
+1 212 698 3529
stuart.strauss@dechert.com
Douglas P. Dick
Washington, D.C.
+1 202 261 3305
douglas.dick@dechert.com
Robert A. Robertson
Orange County
+1 949 442 6037
robert.robertson@dechert.com
dechert.com
129
LEGAL COUNSEL
K&L Gates LLP
Austin, TX
Beijing
Berlin
Boston, MA
Chicago, IL
hedge funds, variable insurance products, private and offshore
investment funds, and exchange-traded funds.
For more information about our practice, including a full
description of our services and biographies of our lawyers, please
visit our website at www.klgates.com.
Kramer Levin Naftalis & Frankel LLP
Hong Kong
New York, NY 10036-2714
212-715-7520
Fax: 212-715-7636
Website: http://www.kramerlevin.com
Email: cfrischling@kramerlevin.com
London
Contact: Carl Frischling, Partner
Los Angeles, CA
New York, NY
New York, NY 10036-2714
212-715-7520
Fax: 212-715-7636
Email: rfeiman@kramerlevin.com
Pittsburgh, PA
Contact: Ronald Feiman, Partner
Raleigh, NC
New York, NY 10036-2714
212-715-7520
Fax: 212-715-7636
Email: gsilfen@kramerlevin.com
Dubai
Fort Worth, TX
Frankfurt
Melbourne
Milan
San Francisco, CA
Seattle, WA
Singapore
Sydney
Taipei
Tokyo
Washington, DC
Website: http://www.klgates.com
K&L Gates has one of the nation’s largest and most experienced
diversified financial services practices. More than 150 of our
lawyers in the United States, Europe, Asia, and Australia focus
their time providing legal services to the investment management
and professional investor communities. In addition, our clients
benefit from the experience of the more than 30 lawyers in the
firm who have worked at the SEC or other financial regulatory
agencies.
Contact: George M. Silfen, Partner
Kramer Levin specializes in the Investment Company Act of
1940 and related investment adviser, broker-dealer, banking,
and commodities areas. The firm counsels mutual funds, their
advisers, and their independent directors on the full range
of legal and regulatory concerns, including fund governance,
compliance, Sarbanes-Oxley Act, anti–money laundering, and fund
distribution issues. The firm also specializes in representing clients
in acquisitions and mergers involving investment companies and
financial services organizations. In addition, Kramer Levin has a
full corporate and litigation practice, including tax and employee
benefits. The firm also helps clients develop alternative products
and represents clients in the hedge fund area.
We represent mutual funds, closed-end funds, hedge funds,
offshore funds, insurance companies, broker-dealers, investment
advisers, retirement plans, banks and trust companies, and other
financial institutions. We also regularly represent mutual fund
distributors, independent directors of investment companies,
and service providers to the investment management industry.
In addition, we frequently serve as outside counsel to industry
associations on a variety of projects, including legislative and
policy matters.
We work with clients in connection with the full range of
investment industry products and activities, including all types
of open-end and closed-end investment companies, funds of
130
LEGAL COUNSEL
Law Office of C. Richard Ropka, LLC
McCarter & English
215 Fries Mill Road
Turnersville, NJ 08012
856-374-1744
Fax: 866-272-8505
Website: http://www.ropkalaw.com
Email: rropka@ropkalaw.com
BNY Mellon Center
1735 Market Street
Suite 700
215-979-3840
267-761-2073
Website: http://www.mccarter.com
Email: lcorsell@mccarter.com
Contact: C. Richard Ropka, Esq., Partner
The Law Office of C. Richard Ropka’s investment management
practice represents open-end mutual funds, and their investment
advisors, underwriters, administrators, and independent trustees/
directors. The firm provides legal counsel to these clients and its
broker-dealer clients in:
»»Contract negotiations
»»Corporate governance
»»SEC and SRO compliance and enforcement matters
Our representation includes preparation of registration
statements, private offering materials, proxy statements, and tax
opinions. Our full-service firm represents clients in the areas of
tax, mergers and acquisitions, securities, trusts and estates, and
tax-exempt organizations.
For more information please go to www.ropkalaw.com, or contact
us at 856-374-1744, or info@ropkalaw.com.
Mayer Brown LLP
1999 K Street, NW
202-263-3379
Website: http://www.mayerbrown.com
Email: smonaco@mayerbrown.com
Contact: Laura Anne Corsell, Partner
McCarter’s investment management attorneys counsel registered
investment companies and alternative vehicles, including
private equity, hedge, and venture capital funds, with respect
to all aspects of federal and state securities regulation. Our
expertise extends beyond these core areas, encompassing ERISA,
insurance coverage, cybersecurity, service provider oversight,
and outsourcing. We represent independent directors with
respect to their responsibilities under the federal securities laws,
supported by a litigation team that has successfully represented
mutual funds and financial services companies in connection with
advisory fees cases, market-timing investigations, and similar
matters. Our attorneys have served as independent compliance
consultants in connection with federal and state settlement orders,
conducted compliance audits, and worked with clients on a full
spectrum of transactional matters involving registered investment
companies and their service providers, including fund formation
and the design of innovative investment products, preparation
of registration statements, mergers and acquisitions, proxy
statements, applications for exemptive orders, and no-action
letters.
Contact: Stephanie M. Monaco, Partner
202-263-3336
Email: apershkow@mayerbrown.com
Contact: Amy Ward Pershkow, Partner
Mayer Brown is an internationally recognized law firm that
provides practical, sophisticated, and comprehensive advice to a
broad spectrum of domestic and international regulated financial
institutions and financial services organizations. Clients include
mutual fund groups, fund board of directors, investment advisers,
private investment funds, banks, and securities firms. We assist
clients and their counterparties in developing new investment
products and services, and handle all types of regulatory,
compliance, tax, ERISA, and litigation matters. Our partners have
the experience necessary to deal efficiently and effectively with
complex and novel legal issues and to respond promptly to clients’
needs.
131
LEGAL COUNSEL
Morgan, Lewis & Bockius LLP
One Federal Street
Boston, MA 02110-1726
617-951-8247
Fax: 617-428-6343
Website: http://www.morganlewis.com
Email: roger.joseph@morganlewis.com
Contact: Roger P. Joseph, Partner
300 South Grand Avenue
Los Angeles, CA 90071-3132
213-680-6646
Fax: 213-680-6499
Email: michael.glazer@morganlewis.com
Contact: Michael Glazer, Partner
101 Park Avenue
New York, NY 10178-0060
212-309-6650
Fax: 212-309-6001
Email: richard.morris@morganlewis.com
Contact: Richard F. Morris, Partner
1701 Market Street
215-963-5037
132
Fax: 215-963-5001
Email: tlevin@morganlewis.com
Contact: Timothy W. Levin, Partner
2020 K Street NW
202-373-6799
Fax: 202-373-6001
Email: wjmcguire@morganlewis.com
Contact: W. John McGuire, Partner
The Morgan Lewis Investment Management Practice is one of the
largest and most experienced practices providing a full range
of legal services to clients in the financial services industry,
both domestically and abroad. More than 120 lawyers across
the U.S. (Boston; Washington, DC; New York; Philadelphia; San
Francisco; Miami; Los Angeles; Chicago) and 150 lawyers globally
(London, Dubai, Frankfurt, Tokyo, Beijing, Singapore), are focused
exclusively on investment management matters. We take an
interdisciplinary approach to counseling financial services clients,
combining the knowledge of lawyers familiar with the relevant
laws affecting the industry in the United States and international
jurisdictions. We advise investment companies, advisers,
broker-dealers, private equity and hedge funds, banks, trust and
insurance companies, pension plans and consultants, securities
exchanges, and transfer agents on the full spectrum of formation,
investment, transactional, regulatory, and compliance matters. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2016 EDITION
LEGAL COUNSEL
Morrison & Foerster
Patricia C. Foster, Esq. PLLC
18th Floor
New York, NY 10019-9601
212-468-8053
Website: http://www.mofo.com
Email: jbaris@mofo.com
170 Van Voorhis Road
Pittsford, NY 14534
585-387-9000
Website: http://www.investmentlawny.com
Email: pcfoster@investmentlawny.com
Contact: Jay G. Baris, Partner
We deliver innovative, practical solutions to complex issues
involving registered and un-registered funds and advisers,
closed-end funds, business development companies, and
exchange-traded products. MoFo advises U.S. and non-U.S.
investment advisers regarding their registration, disclosure, and
compliance obligations. We counsel all types of pooled investment
vehicles, including private funds, commodity pools, venture
capital, mezzanine, and infrastructure, and we proactively advise
mutual fund independent directors on all aspects of their fiduciary
responsibilities.
Our investment management practice and attorneys are
recognized by Chambers, The Legal 500, and the U.S. News Best
Lawyers “Best Law Firms” guide.
Contact: Patricia C. Foster, Principal
The firm provides comprehensive legal services to mutual funds
and independent trustees on both general and complex regulatory
matters, with an emphasis on governance, compliance and risk
management. Patricia Foster founded the firm in 2005 after
substantial industry experience, including experience with a large
investment company complex. Ms. Foster assisted the National
Society of Compliance Professionals (NSCP) in the development
of its Certified Securities Compliance Professional (CSCP®)
program, and is a recipient of the CSCP® designation. Ms. Foster
is a member of the editorial board of Practical Compliance and
Risk Management for the Securities Industry, a Wolters Kluwer
publication. 133
LEGAL COUNSEL
Paul Hastings LLP
Pepper Hamilton LLP
75 East 55th Street
New York, NY 10022
212-318-6800
Fax: 212-230-7745
Website: http://www.paulhastings.com
Email: mikerosella@paulhastings.com
3000 Two Logan Square
18th and Arch Streets
215-981-4000
Fax: 215-981-4750
Website: http://www.pepperlaw.com
Email: fordjm@pepperlaw.com
Contact: Michael R. Rosella, Partner
55 Second Street
24th Floor
San Francisco, CA 94105-3441
415-856-7000
Fax: 415-856-7100
Email: davidhearth@paulhastings.com
Contact: David A. Hearth, Partner
515 South Flower Street
25th Floor
Los Angeles, CA 90071-2228
213-683-6000
Fax: 213-627-0705
Email: artzwickel@paulhastings.com
Contact: John M. Ford, Partner
Pepper Hamilton LLP counsels managers, sponsors, advisers, and
investors in public and private investment funds. Our lawyers are
skilled in the formation, operations, and regulatory environments
of a variety of investment funds, including registered investment
companies, direct equity funds, mezzanine funds, hedge funds,
business development companies, small business investment
companies, other alternative investment products, SEC regulatory
enforcement actions, corporate governance, and directors’ and
officers’ liability. We have several attorneys with prior government
experience with the SEC, FINRA, the U.S. Department of Justice,
Department of Treasury, and Internal Revenue Service.
Contact: Arthur L. Zwickel, Partner
875 15th Street, NW
202-551-1700
Fax: 202-551-1705
Email: wendellfaria@paulhastings.com
Contact: Wendell M. Faria, Of Counsel
Paul Hastings has a substantial and diverse practice in organizing,
registering, acquiring, reorganizing, and advising open- and
closed-end investment companies, exchange-traded funds and
unit investment trusts. The firm is counsel to funds and advisers,
and has numerous independent director representations. The
firm also serves as special counsel to funds or advisers in
matters involving conflicts of interest or unusual circumstances
or transactions, as litigation counsel, as distributor’s counsel
concerning broker-dealer and related matters, as ERISA counsel,
and as counsel to domestic and offshore private investment funds.
134
Sutherland teams with investment management
clients to make business goals a reality
n
Mutual Funds
n
Insurance Products
n
Closed-End Funds
n
Broker-Dealers
n
Exchange-Traded Funds
n
Investment Advisers
n
Hedge Funds
n
Boards of Directors
For more information on Sutherland’s investment management practice, contact:
Eric Arnold
202.383.0741
eric.arnold@sutherland.com
Michael Koffler
212.389.5014
michael.koffler@sutherland.com
Fred Bellamy
202.383.0126
fred.bellamy@sutherland.com
Susan Krawczyk
202.383.0197
susan.krawczyk@sutherland.com
Tom Bisset
202.383.0118
thomas.bisset@sutherland.com
Steve Roth
202.383.0158
steve.roth@sutherland.com
Steve Boehm
202.383.0176
steven.boehm@sutherland.com
Holly Smith
202.383.0245
holly.smith@sutherland.com
Jamie Cain
202.383.0180
james.cain@sutherland.com
John Walsh
202.383.0818
john.walsh@sutherland.com
Cliff Kirsch
212.389.5052
clifford.kirsch@sutherland.com
Mary Jane Wilson-Bilik
202.383.0660
mj.wilson-bilik@sutherland.com
SUTHERLAND ASBILL & BRENNAN LLP
www.sutherland.com
135
LEGAL COUNSEL
Ropes & Gray LLP
Schulte Roth & Zabel LLP
800 Boylston Street
Prudential Center
Boston, MA 02199
617-951-7405
Website: http://www.ropesgray.com
Email: john.loder@ropesgray.com
919 Third Avenue
New York, NY 10022
212-756-2533
Website: http://www.srz.com
Email: kenneth.gerstein@srz.com
Contact: John M. Loder
New York, NY 10036
212-497-3636
Email: bryan.chegwidden@ropesgray.com
Contact: Bryan Chegwidden, Partner
Three Embarcadero Center
San Francisco, CA 94111
415-315-6327
Email: gregory.davis@ropesgray.com
Contact: Kenneth S. Gerstein
Schulte Roth & Zabel provides creative and effective legal advice
to mutual funds, closed-end investment companies, business
development companies, and domestic and offshore private
investment funds. We also represent independent directors
of funds, as well as investment advisers, banks, and brokers
that manage and distribute funds. With attorneys in New York,
Washington, DC, and London, we help clients structure innovative
products, including registered hedge funds. We also represent
clients on regulatory and compliance matters, investment adviser
acquisitions, and litigation. Our practice draws on the skills of
attorneys in the related areas of securities, commodities, banking,
tax, derivatives, and ERISA.
Contact: Gregory Davis, Partner
One Metro Center
700 12th Street, NW
Suite 900
202-508-4722
Email: david.tittsworth@ropesgray.com
Contact: David Tittsworth, Counsel
191 North Wacker Drive
32nd Floor
Chicago, IL 60606
312-845-1212
Email: paulita.pike@ropesgray.com
Contact: Paulita Pike, Partner
Ropes & Gray LLP is a leading national law firm with one of the
largest and most diversified investment management practices
of any U.S. firm. The principal focus of our practice is the
representation of investment companies and investment advisors.
We represent more than 1,400 mutual funds and investment
firms ranging from start-up ventures to those with over $1
trillion dollars in assets under management. Over 130 of our
lawyers focus on serving clients in the investment management
industry. Our globally recognized mutual fund practice regularly
appears at the top of industry rankings—a direct reflection of our
commitment to professional excellence and client service.
136
LEGAL COUNSEL
Seward & Kissel LLP
Sidley Austin LLP
901 K Street, NW
202-737-8833
Fax: 202-737-5184
Email: clarke@sewkis.com
787 Seventh Avenue
New York, NY 10019
212-839-5300
212-839-5534
Fax: 212-839-5599
Website: http://www.sidley.com
Email: jmackinnon@sidley.com
Contact: Kathleen K. Clarke, Counsel
901 K Street, NW
202-737-8833
Fax: 202-737-5184
Email: millerp@sewkis.com
Contact: Paul M. Miller, Partner
One Battery Park Plaza
New York, NY 10004
212-574-1247
Fax: 212-480-8427
Email: poglinco@sewkis.com
Contact: Patricia A. Poglinco, Partner
One Battery Park Plaza
New York, NY 10004
212-574-1261
Fax: 212-480-8421
Email: tavss@sewkis.com
Contact: John E. Tavss, Partner
We provide a full range of regulatory, corporate, ERISA, tax,
capital markets, transactional, and litigation services for a large
number and wide variety of investment companies, including
registered open-end and closed-end funds, exchange-traded
funds, hedge funds, private equity funds, and offshore funds.
We work with clients in the areas of formation and registration,
compliance with federal and state regulation, domestic and
international investing, mergers and acquisitions, compliance
audits, investigations, and enforcement action. We act as counsel
to the independent directors of registered investment companies
and advise public and private investment advisers, underwriters,
custodians, transfer agents, administrators, and other service
providers to registered and unregistered investment companies.
Contact: John A. MacKinnon, Partner
Sidley has a premier, global practice that advises on matters
relating to registered investment companies, as well as to hedge
funds, commodity pools, private equity funds, and offshore
funds. In addition to traditional registered investment company
structures, the firm has an active practice in liquid alternative
funds, principal-protected funds, fund of funds, master-feeder
and multiple class structures, and investment company mergers
and acquisitions. We represent a number of fund boards and have
actively participated in the SEC’s fund governance initiatives.
Sidley also advises clients across the spectrum of the most
complex enforcement and regulatory issues.
Simpson Thacher & Bartlett LLP
New York, NY 10017-3954
212-455-3575
Website: http://www.simpsonthacher.com
Email: scogan@stblaw.com
Contact: Sarah E. Cogan, Partner
Simpson Thacher & Bartlett LLP has a dynamic, longstanding
practice representing U.S.-registered funds, their advisers, boards,
and underwriters. Our practice encompasses closed-end funds,
open-end funds, business development companies, ETFs, and
permanent capital vehicles. Drawing on the strength of our leading
private fund formation practice, we have extensive experience in
development of liquid alternative funds and other products that
offer strategies typically found in private funds to more retail
investors. The investment management group is supported by
specialists in asset management M&A, banking regulation, tax,
ERISA, real estate, and commodity regulation, and operates from
our offices on four continents.
137
LEGAL COUNSEL
Stradley Ronon Stevens & Young, LLP
Sutherland Asbill & Brennan LLP
2005 Market Street
Suite 2600
215-564-8115
215-564-8000
Website: http://www.stradley.com
Email: bleto@stradley.com
700 Sixth Street, NW
Suite 700
202-383-0100
Website: http://www.sutherland.com
Email: steve.boehm@sutherland.com
Contact: Bruce Leto, Partner
Counseling clients since 1928, Stradley Ronon maintains one
of the premier investment management practices in the United
States, representing investment company clients with more than
1,000 separate funds and assets under management exceeding $2
trillion. Our Investment Management Group represents retail and
institutional investment companies marketing shares through every
distribution channel, as well as investment advisers, hedge fund
sponsors, managers, administrators, and underwriters/distributors.
It also serves as independent legal counsel to investment company
independent directors/trustees, and as special counsel to other law
firms with regard to complex issues arising under the Investment
Company Act of 1940. www.stradley.com.
Stroock & Stroock & Lavan LLP
180 Maiden Lane
New York, NY 10038
212-806-6049
Fax: 212-806-6006
Website: http://www.stroock.com
Email: scoleman@stroock.com
Contact: Stuart H. Coleman, Co-Managing Partner
Stroock represents nearly 850 investment companies—or their
independent board members—with approximately $1.4 trillion in
assets under management (over 7.5% of U.S. investment company
assets), as well as U.S. and non-U.S. asset managers and other
service providers. Over the last 60 years, we have assisted with
the formation, operation and oversight of mutual funds (including
variable products), ETFs, closed-end funds, BDCs, hedge funds,
private equity funds and other investment vehicles. Our integrated
practice provides expertise in commodities and derivatives, ERISA,
intellectual property, litigation and tax.
We have a deep working knowledge of the statutory and
regulatory landscape governing funds and their advisers. We
regularly work with clients in the development and offering of
new and innovative products. We represent clients in mergers
and acquisitions, financings and fund reorganizations. We advise
asset managers on a full range of legal and regulatory matters,
including registration, reporting and compliance obligations. We
represent clients in matters before the SEC, the Department of
Labor and the IRS. We also have significant experience advising
parties subject to regulatory investigations and settlements or
potential civil litigations.
Contact: Steven B. Boehm, Partner
Sutherland Asbill & Brennan LLP has a comprehensive investment
management practice. Our clients include open- and closed-end
funds, business development companies (BDCs), unit investment
trusts (UITs), exchange-traded funds (ETFs), 529 plans, and
funds underlying insurance products. We also represent private
investment funds and clients that distribute investment funds,
including broker-dealers, banks, and insurance companies, and
investment advisers who manage these funds. Sutherland advises
clients on all aspects of capital formation, corporate governance,
compliance, tax, ERISA, and litigation matters. Founded in 1924,
the firm has offices in Washington, DC; New York; Atlanta;
London; Geneva; Houston; Austin; and Sacramento.
Thompson Hine LLP
312 Walnut Street
14th Floor
Cincinnati, OH 45202-4089
513-352-6546
Website: http://www.thompsonhine.com
Email: don.mendelsohn@thompsonhine.com
Contact: Donald S. Mendelsohn, Partner
Thompson Hine investment management lawyers provide
outstanding legal services and a wealth of experience to a wide
range of clients, including investment companies and advisers,
broker-dealers, domestic and offshore hedge funds, fund service
providers, and independent directors and trustees. We offer
innovative solutions for entering the industry, developing new
products and services, expanding business through strategic
planning and acquisition, keeping abreast of regulatory and
industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in
Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and
Washington, DC.
We work with clients to develop sound, practical and businessoriented solutions. Stroock regularly receives nationwide industry
recognition from various publications including Chambers USA,
The Legal 500 United States, and The Best Lawyers in America®.
138
LEGAL COUNSEL
Vedder Price P.C.
Willkie Farr & Gallagher LLP
222 North LaSalle Street
Chicago, IL 60601
312-609-7500
Fax: 312-609-5005
Website: http://www.vedderprice.com/
investment-services-client-services/
Email: dsturms@vedderprice.com
787 Seventh Avenue
New York, NY 10019-6099
212-728-8000
212-728-8297
Fax: 212-728-8111
Website: http://www.willkie.com
Email: MNeale@willkie.com
Contact: David A. Sturms, Shareholder and Chair, Investment
Services Group
Contact: Margery Neale, Co-Chair, Asset Management Group
Vedder Price provides a full range of services to a diverse financial
services clientele. Our investment services group, one of the
largest in the country, is experienced in all aspects of investment
company, investment adviser, broker-dealer, bank, ERISA, and tax
matters. Clients include open-end and closed-end funds and ETFs
(from start-ups to multibillion-dollar fund families), their sponsors
and independent directors; private investment companies; and
other pooled-investment vehicles. We work closely with clients
to provide efficient, timely, and responsive counsel on a myriad
of issues, ranging from new product design to the M&A needs of
investment companies and their sponsors.
1875 K Street, NW
202-303-1000
202-303-1201
Fax: 202-303-2000
Email: BBarbash@willkie.com
Contact: Barry P. Barbash, Co-Chair, Asset Management Group
We provide creative, timely, and cost-effective representation to
registered investment companies—both open-end and closed-end—
as well as to business development companies, exchange-traded
funds (ETFs), hedge funds, private equity funds, and offshore
funds and their managers. We also advise insurance companies
and their affiliates concerning variable life insurance and annuities
and other insurance products subject to regulation under the
securities laws. We routinely work with clients in the areas of new
product design, federal and state regulation, governance matters,
portfolio investing, distribution, mergers and acquisitions, private
placements, compliance audits, investigations, enforcement actions
and litigation, and the day-to-day business of asset management.
Our firm offers the full array of services investment management
firms require, including tax, ERISA, commodities, trading and market
regulation, banking, bankruptcy, derivatives, and asset securitization.
139
140
Mailing and Fulfillment Services
AST Fund Solutions, LLC
Computershare
55 Challenger Road
Ridgefield Park, NJ 07660
201-806-7300
Website: http://www.astfundsolutions.com
Email: info@astfundsolutions.com
280 Oser Avenue
Hauppauge, NY 11788
310-776-7365
Website: http://www.cfs.computershare.com
Email: jocelyn.mcbride@computershare.com
Contact: Paul Torre, Executive Vice President
Contact: Jocelyn McBride, Vice President
AST Fund Solutions, LLC is the premier provider of proxy
solicitation and shareholder communication services for the mutual
fund, business development company (BDC), and master limited
partnership (MLP) industries in North America.
CFS is committed to managing the service and quality of the
prospectus fulfillment process from end to end. As experts in
distribution, our team offers solutions that meet compliance
requirements, while quickly communicating key information
to investors and minimizing costs. Our stand-alone fulfillment
inventory system allows us to keep updated shareholder records as
well as maintain accurate reports on material quantities.
Our team of experts offers a comprehensive suite of services for
open-end and closed-end funds, BDCs, and MLPs.
Services include:
»»Mutual fund, closed-end, BDC, and MLP proxy solicitation
services
»»Regulatory mailing services
»»Strategic advisory services for closed-end funds, BDCs, and
MLPs
»»CEFinsight.com™
»»Closed-end fund, BDC, and MLP transfer agent solutions
»»Closed-end fund, BDC, and MLP administration services
American Stock Transfer & Trust Company (AST) and its affiliates
are leading providers of registry services to financial markets
around the world.
For more information, call 201-806-7300, email newbusiness@
amstock.com, or visit www.amstock.com.
Post-sale prospectus fulfillment includes:
»»Summary prospectus
»»Statutory prospectuses
»»Supplements
»»Bank products
CFS offers full-service proxy solicitation services, as well as the
in-house resources and expertise needed for compliance mailings.
Toppan Vite New York Inc.
747 Third Avenue
Seventh Floor
New York, NY 10017
212-596-7768
Website: http://www.toppanvite.com/us
Email: jeffriback@toppanlf.com
Contact: Jeffrey Riback, President
Command Financial Press
345 Hudson Street
New York, NY 10014
212-274-0070
Fax: 212-334-8783
Website: http://www.commandfinancial.com
Email: jammirati@commandfinancial.com
Contact: John V. Ammirati, Marketing Director
Command is a full-service provider of print and electronic
distribution and fulfillment. Our state-of-the-art facility in New
Jersey offers single-source responsibility for mail services, digital
print, demand and variable print, personalization, list conversion,
“house-holding,” laser imaging, automatic insertion ink jetting,
email services, mail program format optimization, manifest
reporting, and electronic proof and document distribution.
Command also offers intelligent insertion, which translates into
significant client savings.
Toppan Vite is a full-service financial printer that handles all
mission-critical content for investment company reporting
and compliance. We’re part of a global company, Toppan, with
more than $18 billion in annual sales. We have U.S. and global
capabilities and have standout people with decades of investment
company experience in the U.S. financial printing industry.
Toppan Vite’s HIVE™ Marketing Solutions provides an end-to-end
solution for all of your document publishing, production, and
distribution requirements. There is no need to outsource work to
multiple vendors—we will save you time and money, and provide
you with a hassle-free experience from start to finish. Seamlessly
integrated with our digital storefront and printing centers,
Toppan Vite’s state-of-the-art mailing and fulfillment facilities are
designed to manage and expedite projects of any size.
Toppan Vite is here to do things better, make life hassle-free, and
change your experience of financial printing.
141
MAILING AND FULFILLMENT SERVICES
414-765-5678
800-300-3863
Fax: 866-624-7095
We offer comprehensive fulfillment inventory and print-ondemand (POD) services managed by a team of experienced and
highly trained professionals. We will customize a program to meet
the specific needs of each client. Our suite of services includes:
»»New client setup in fulfillment portal
»»SEC compliance monitoring
»»Order entry and research
»»Library management, including available inventory items and
kit composition
»»Custom requests facilitation
»»Generation of client-facing lead origination, closed-loop
marketing, and order and inventory production reports
»»Client education on best practices and assistance in making
sound decisions based on their specific business needs
142
Managed Account Services
SEI
Oaks, PA 19456
610-676-1270
SEI has developed a fully integrated operating environment
for SMA managers that combines industry-leading technology,
comprehensive document management and workflow tools,
and the expertise of experienced industry veterans. Our partner
approach helps you meet the operating demands of competing in
today’s SMA industry. SEI’s state-of-the-art services enable you to:
»»Create a scalable operating environment that can lead
to reduced operating costs, which may help increase
profitability
»»Participate in a greater number of SMA programs without
losing efficiency
»»Control risk and manage all information related to your
business
»»Increase understanding and transparency over your SMA
operations
143
Market Research
DST Systems, Inc.
24 West 25th Street
11th Floor
New York, NY 10010
816-435-8926
Website: http://www.kasina.com
Email: jdolan@kasina.com
Contact: Joseph Dolan, Director of Sales
Financial services companies are faced with complex data
and distribution challenges to expand market share, grow net
investment, and improve profitability. kasina, a DST company,
enables you to transform your distribution, marketing, and
product organizations through the use of distribution analytics,
intuitive reporting tools, forward-looking research, and
professional services. At kasina, we help you to:
»»Manage Data—Source, manage, and enrich robust industry,
advisor, and customer data safely and securely
»»Track financial advisors, sales flows, and AUM
»»Integrate data with internal and external systems
»»Aggregate data (data warehousing)
»»Gain Insight—Understand, predict, and optimize key
business factors impacting asset growth and profitability
»»Business Intelligence—Market share insights and decision
support
»»Analytics—Predictive wholesaling, asset retention
analysis, custom analytics
»»Research—Best practices and future trends in
distribution, marketing, product
»»Ignite Change—Leverage our professional services to
develop strategies with a clear roadmap to execute and
embed cultural change
»»Data, distribution, marketing, and product strategy
»»Metrics, team structure, compensation consulting
»»M&A support
»»Marketing segmentation/campaigns
kasina is a wholly owned subsidiary of DST Systems—the world’s
largest provider of third-party shareholder recordkeeping services
and a leading provider in sophisticated information processing and
servicing solutions to companies around the world.
144
Market Timing Detection Software
Delta Data
Envision Financial Systems, Inc.
700 Brookstone Centre Parkway
Suite 500
Columbus, GA 31904
914-414-2319
Fax: 706-596-8512
Website: http://www.deltadatasoft.com
Email: bbange@deltadatasoft.com
18101 Von Karman Avenue
Suite 1420
Irvine, CA 92612
714-247-0030, x114
949-579-9195
Website: http://www.enfs.com
Email: brian.jones@enfs.com
Contact: Bret Bange, Senior Vice President, Sales and Marketing
Contact: Brian Jones, Executive Vice President
Delta Data’s Oversight Solution provides full-visibility into
fund distribution for 22c-2 compliance fulfillment, omnibus fee
management, and omnibus distribution partner oversight, all
integrated with reporting and analytics.
Clarity Compliance is Envision Financial System’s web-based,
on-demand tool to monitor and resolve fund policy violations
to ensure compliance with SEC Rule 22c-2. The Envision Clarity
Compliance Solution goes beyond the basics to:
Delta Data provides the back-end solutions that companies in
the mutual fund industry use to process and manage billions of
dollars of transactions and related data. Facing constant change
from regulatory, technology, industry, and internally—Delta Data
helps clients See the change, Get ahead of it, and Stay on course
without introducing them to new risks. The biggest names in
financial services rely on Delta Data to ensure they Stay ahead of
the change.
DST Systems, Inc.
888-DST-INFO
Fax: 617-483-8810
Email: mjtobin@dstsystems.com
Contact: Mike Tobin, Vice President of Sales
To address regulatory and service needs, organizations must
manage the complexity of enforcing prospectus rules on shortterm and excessive trading across Level 3 accounts, fully disclosed
accounts, and subaccounts from omnibus positions.
DST’s single platform solution addresses the requirements of SEC
Rule 22c-2 by providing the mechanisms to receive data from
financial intermediaries, monitor trades for market timing, and
determine when redemption fees are necessary.
We apply the same fund rules for your direct accounts to the
subaccounts that reside beneath your omnibus positions—ensuring
all trade activity received from financial intermediaries is treated
equally with the trading from the accounts residing on your mutual
fund recordkeeping system. Both full-service and remote models
are offered.
capabilities.
»»Provide advanced automated tools to assist you in making
policy and compliance decisions
»»Integrate with any transfer agency or intermediary data feeds
»»Monitor trading activity based upon patterns of trading,
percentage of trade to total fund assets, or trade frequency
for a risked-based approach to compliance
»»Centrally document and manage violations of your rules
Envision provides reliability for today’s challenges and flexibility
for tomorrow’s opportunities. SalesFocus Solutions
2401 Kerner Boulevard
San Rafael, CA 94901
978-473-0350
Website: http://www.salesfocussolutions.com
Email: dhalligan@sfsmars.com
Contact: Dave Halligan, Director of Sales and Account
Management
With the MARS compliance solution your firm can rest assured
that you have the tools to properly oversee fund and prospectus
compliance as well as to identify situations where potentially
improper trading may be occurring. MARS 22c-2 compliance—MARS monitors all transactions for
potential 22c-2 violations and provides a comprehensive solution: user-configurable rules definition, violation review/research,
workflow process, audit-trail, and the ability to track action items. MARS Prospectus Compliance—MARS also provides comprehensive
tools for fund and prospectus compliance.
MARS transforms your 22c-2 compliance obligation into a strategic
advantage by leveraging your data to provide your organization
with sophisticated business insights.
145
Marketing and Marketing Communications
BackBay Communications
Boston Investor Communications Group, LLC
20 Park Plaza
Suite 801
Boston, MA 02116
617-556-9982 x224
Website: http://www.backbaycommunications.com
Email: bill.haynes@backbaycommunications.com
228 Main Street
Williamstown, MA 01267
781-929-1170
866-569-2424
Website: http://www.bicgservices.com
Email: hrauscher@bicgservices.com
Contact: Bill Haynes, President
Contact: Hugh Rauscher, Partner
BackBay Communications is a strategic branding, marketing,
and public relations firm focused on the financial services sector,
including asset management, banking, financial technology,
hedge funds, insurance, private equity, RIAs, and venture capital.
BackBay offers a unique combination of content and creativity.
BackBay’s services include advertising, branding, content, design,
initiatives, and relationships with the major business media.
With offices in Boston, London, and New York, BackBay serves
companies across the United States and Europe, and in Asia
through strategic partnerships.
BICG is a team of seasoned financial communications professionals
providing copywriting, design, and marketing project management
services to the investment industry.
Our depth of experience developing communications for retail,
institutional, and advisor audiences ensures that we’ll grasp your
objectives quickly and spare you extensive rewrites—whether the
assignment is a product launch, capabilities brochure, newsletter,
seminar presentation, or shareholder report. We’ll work with you
to assist in project definition and messaging strategy, and we can
take your project through to delivery more efficiently than a larger,
less-focused agency.
Blue Flame Thinking
55 West Monroe
Suite 1550
Chicago, IL 60603
312-382-9000
Fax: 312-335-1292
Website: http://www.blueflamethinking.com
Email: sschmieder@blueflamethinking.com
Contact: Stephen Schmieder, Principal and CEO
Technology has turned communications outside in. Social channels
and other forms of “personalized” media are allowing you to earn
your way into the hearts and minds of new prospects.
Today, prospects find you at their time, in their place, and via their
preferred method for consuming content. In other words, it’s a
connection they initiate.
Make those connections more vibrant by injecting intelligence,
insight, and creativity into all your communications. Use our
inbound marketing expertise to make an impression that will
resonate, motivate, and last.
The first step? Plug some Blue Flame Thinking into your side of the
equation.
146
Broadridge
1155 Long Island Avenue
Edgewood, NY 11717
631-254-7468
631-254-7569
Website: http://www.broadridge.com
Email: richard.specht@broadridge.com
Contact: Richard Specht, Senior Vice President of Sales
Broadridge is the leading provider of investor communications
and technology-driven solutions for mutual funds and asset
management firms. We facilitate driving operational excellence
to manage risk, accelerate growth, and deliver real business
value. We offer a comprehensive, technology-forward approach
to deliver a full range of concise, compelling marketing
communications with accuracy, dependability, and efficiency.
Our solutions include web-based tools to create and order
marketing literature and cross-media campaigns. These materials
distribute electronically or as printed collateral. Our integrated
service model provides end-to-end support—from consulting,
creative, data management, content management, and fulfillment
to imaging and archival. Seamless data integration with your
brand, your systems, investment providers, and recordkeeping
platforms makes Broadridge a powerful marketing and regulatory
communications partner that delivers results.
MARKETING AND MARKETING COMMUNICATIONS
E5A Integrated Marketing
LederMark Communications
31 West 34th Street
Seventh Floor
New York, NY 10001
646-405-5850
Website: http://E5AIntegratedMarketing.com/AssetGathering
Email: acorn@e5aim.com
401 Washington Avenue
Suite 600
Baltimore, MD 21204
443-279-7901
Fax: 410-832-8883
Website: http://www.ledermark.com
Email: leder@ledermark.com
Contact: Andrew Corn, Chief Executive Officer
E5A is an investment management specialist agency, successfully
helping clients gain and retain assets under management. The
firm, run by a former PM, leverages data targeting with creative
concepts to develop highly effective, turnkey investor acquisition
campaigns.
Our methodologies are enhanced by firsthand experience in
investing, distribution, and technology to optimize investor
acquisition and AUM retention. E5A provides investor
segmentation, data targeting, positioning, and messaging from
the first media touch-point to the finals presentation or direct
retail investor acquisition, across investment styles and structures.
E5A is focused on generating and retaining assets from
institutions, FAs, and accredited and retail investors.
Contact: Gerri Leder, President
LederMark Communications is a marketing partner to financial
services firms, including fund sponsors, independent RIAs, and
brokerage firms. We work alongside clients to develop strategic
solutions and lead marketing initiatives in these areas:
»»Independent evaluation of current strategy or prospective
sales/marketing programs
»»Value-added programs and financial advisor initiatives
»»Content marketing
»»Branding and rebranding initiatives
»»Marketing communications solutions for print and web
»»Investor focus groups
Visit our web site, www.ledermark.com, and contact us. We look
forward to putting our ideas and experience to work for you.
147
MARKETING AND MARKETING COMMUNICATIONS
Leibowitz
Merrill Corporation
36 East 20th Street
Fifth Floor
New York, NY 10003
212-367-8180
Website: http://www.leibowitz.co/
Email: paul@leibowitz.co
17th Floor
New York, NY 10105
212-367-5926
Website: http://www.merrillcorp.com/
Email: dorit.murciano@merrillcorp.com
Contact: Paul Leibowitz, President and CCO
Contact: Dorit Murciano, Senior Vice President, Financial Services
Practice Leader
For more than 20 years, Leibowitz has provided mutual fund
companies with the branding, design, and web solutions they
need to effectively communicate with investors.
Our extensive experience in asset management qualifies us to
uncover what’s unique about your company while respecting the
needs of your marketplace and target audiences. We maintain
many longstanding industry relationships due to our focus on
exceptional client service. We give our clients dedicated account
contacts and access to senior management.
We know brands extend beyond logos and into the content,
voice, and design of marketing collateral and websites. Every
project we conduct—be it a website redesign, company rebrand,
content consulting, or collateral—is based in extensive research
and strategy. Our upfront analysis is what sets us apart from
other agencies, and it allows us to create enduring breakthrough
marketing strategies.
Our expertise includes:
How do you attract and retain customers for your continued
growth and success? Merrill Corporation can help you:
»»Enable secure, online order entry, customized one-to-one
marketing, inventory management, analysis, and regulatory
auditing with MerrillConnect, a technology-enabled
marketing communications portal
»»Intensify your brand through consistently produced materials
»»Increase effectiveness of customer communications via our
integrated program management offerings
»»Produce key reports on sales channels and marketing
programs
»»Ensure every dollar invested has maximum impact
Whether you’re seeking a fully integrated suite of services or
a single solution, Merrill delivers solutions tailored to precisely
match the way you do business.
»»Brand strategy and design
»»Responsive web design and development
»»Content development
»»Print collateral
»»Advisor and shareholder communications
We’re excited to take your company to the next level.
148
Marketing—401(k) Pensions/Retirement
EACH Enterprise, LLC
61 Rainbow Road
East Granby, CT 06026
860-653-1701
Fax: 860-328-2830
Website: http://www.eachenterprise.com
Email: ehenon@eachenterprise.com
Contact: Eric Henon, President
EACH Enterprise helps retirement plan providers and investment
managers establish and maintain a clear position in target
markets with coordinated marketing initiatives involving research,
reporting, news release, social media, public speaking, seminar
planning, and campaign management services.
149
Marketing Operations Improvements
Fluent Technologies, Inc.
331 Montvale Avenue
Suite 300
Woburn, MA 01801
781-939-0900, x111
Fax: 781-939-0800
Website: http://www.fluenttech.com
Email: mzimmer@fluenttech.com
Contact: Michael Zimmer, President
Fluent® provides asset manager marketing and DCIO teams and
retirement providers with industry-leading product marketing
tools. Our flagship service, FundUtopia, is an information
management technology that optimizes the production of
customized data-driven communications. Our mobile solution,
UtopiaAdvisor, enables client-facing teams to evaluate and
compare products and create actionable recommendations.
Features include:
»»On-demand performance reports
»»Fund portfolio analytics and measurement
»»Fund fact sheets
»»Fund and market commentaries
»»Pitchbooks
»»Separately managed account reporting
»»Representative composite reviews
»»Fiduciary scorecard and fund comparison
»»Plan reporting and investment reviews
150
Marketing Research
DST Systems, Inc.
24 West 25th Street
11th Floor
New York, NY 10010
816-435-8926
Website: http://www.kasina.com
Email: jdolan@kasina.com
Contact: Joseph Dolan, Director of Sales
Financial services companies are faced with complex data
and distribution challenges to expand market share, grow net
investment, and improve profitability. kasina, a DST company,
enables you to transform your distribution, marketing, and
product organizations through the use of distribution analytics,
intuitive reporting tools, forward-looking research, and
professional services. At kasina, we help you to:
»»Manage Data—Source, manage, and enrich robust industry,
advisor, and customer data safely and securely
»»Track financial advisors, sales flows, and AUM
»»Integrate data with internal and external systems
»»Aggregate data (data warehousing)
»»Gain Insight—Understand, predict, and optimize key
business factors impacting asset growth and profitability
»»Business Intelligence—Market share insights and decision
support
»»Analytics—Predictive wholesaling, asset retention
analysis, custom analytics
»»Research—Best practices and future trends in
distribution, marketing, product
»»Ignite Change—Leverage our professional services to
develop strategies with a clear roadmap to execute and
embed cultural change
»»Data, distribution, marketing, and product strategy
»»Metrics, team structure, compensation consulting
»»M&A support
»»Marketing segmentation/campaigns
kasina is a wholly owned subsidiary of DST Systems—the world’s
largest provider of third-party shareholder recordkeeping services
and a leading provider in sophisticated information processing and
servicing solutions to companies around the world.
151

Fund Legal Administration and Regulation Compliance

Transcription

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