Mr. Monfort works with clients on a wide range of regulatory, corporate and transactional matters, including:
- Counseling investment companies and independent directors on various aspects of the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933 and other federal securities laws during all stages of investment company operation, including fund formation matters and ongoing Securities and Exchange Commission regulatory, compliance and registration requirements, and corporate governance matters.
- Counseling U.S. and non-U.S. registered investment advisers regarding operation, registration and compliance, including with respect to the Investment Advisers Act of 1940, the Securities Act of 1933, the Sarbanes-Oxley Act of 2002, the Securities Exchange Act of 1934, the Gramm-Leach-Bliley Act, the Commodity Exchange Act and the Commodity Futures Modernization Act of 2000.
- Counseling registered funds and boards of directors on shareholder activism and related corporate governance matters.
- Representing funds and investment advisers in obtaining exemptive relief and no-action letters from the Securities and Exchange Commission or its Staff.
- Representing funds, investment advisers and boards of directors in connection with investment adviser acquisitions, as well as fund mergers, reorganizations, redomicilings and liquidations.
- Counseling investment advisers and broker-dealers in connection with a broad range of regulatory and transactional matters, including registration and compliance filings with the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority and the National Futures Association.
- Advising insurance companies on new and revised life and annuity products, in response to market and regulatory changes.