Job Details

1940 Act Attorney

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Organization Type


Job Type


Years of Experience

6-8 yrs required


Glendora, CA

Date Last Verified

Oct 19,2017

Posted on

Jun 27,2017
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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1940 Act Attorney The candidate will be responsible for: drafting and reviewing initial open-end, multi-class mutual fund and closed-end fund registration statements to ensure disclosure requirements are met; preparing annual updates to registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, exchange listing applications, proxy statements and related filings; communicating with US Securities and Exchange Commission (SEC) examiners and New York Stock Exchange representatives on behalf of fund clients; taking and drafting board meeting minutes; preparing agendas, resolutions, agreements and other policies and procedures for board meetings, including organization meetings; serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the Investment Company Act of 1940, as amended, SEC guidance on exemptive relief, as well as related securities laws; and educating clients with respect to legal, regulatory, and industry developments. Should have Law degree and membership of WI Bar association. Must have 6-8 years of legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization. Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations is preferred.

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Ref. #: 170020155

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