May 22, 2017

Mark C. Amorosi

Mr. Amorosi is a partner in K&L Gates' Investment Management Group and is based in the firm's Washington, DC office.  His practice focuses on investment management and securities law matters involving investment advisers, mutual funds, insurance companies and private investment vehicles, and related issues affecting broker-dealers, administrators, transfer agents and custodians.

Mr. Amorosi has assisted mutual fund and investment adviser clients with developing a variety of investment products, including the formation and registration of domestic and international equity and fixed income funds, asset allocation funds, real estate funds, long/short strategy and market neutral funds, target date retirement funds, funds-of-funds, principal protection funds, index funds and money market funds, in addition to providing them with ongoing representation.  He has extensive experience with portfolio management compliance issues, multi-manager fund complexes, funds-of-funds structures (including funds of ETFs), mergers and acquisitions of affiliated and unaffiliated investment companies and investment company complexes, the development and implementation of compliance programs, affiliated transactions issues, and distribution issues (including Rule 12b-1 fees, multiple class arrangements, redemption fee issues, "fund supermarket" and "shelf space" issues, selling agreements, breakpoints and sales practice issues).  Mr. Amorosi has worked with mutual fund complexes and investment advisers of varying sizes and regularly deals with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other regulatory organizations on a range of regulatory matters, including registration statements, exemptive order applications, inspection and examination inquiries and interpretive requests.

Articles in the National Law Review database by Mark C. Amorosi

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