Benjamin D. McCulloch represents U.S. registered funds, their investment advisers and their boards of directors/trustees regarding issues related to the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934. Ben assists his clients in securities and investment management matters with an emphasis on investment company issues. He has significant experience advising clients on the offering, organization, operation and various filing and reporting requirements of closed-end funds, open-end mutual funds, exchange-traded funds (ETFs), separately managed accounts, UCITS funds, and funds classified as commodity pools.
Ben has particularly significant experience advising clients as it relates to sponsoring and managing ETFs. He has advised clients on ETF structures, authorized participant arrangements, portfolio compliance and operational matter. Ben has also counseled sponsors and boards of actively-managed ETFs and has substantial experience working with exchanges and the SEC to bring actively-managed ETFs to the market. Many of the funds Ben advises utilize derivative investment strategies. Ben has also advised on general transactional matters, including negotiating fund service provider agreements, authorized participant and dealership agreements, and various corporate and licensing agreements.
Articles in the National Law Review database by Benjamin D. McCulloch