Andrew L. Zutz

Andrew L. Zutz is a partner in Goodwin’s Financial Industry group and a member of its Investment Management practice. Andrew focuses his practice on the investment management industry, primarily representing registered investment companies and their investment advisers and boards of directors with respect to a wide variety of regulatory, compliance, and securities law matters.

The clients with whom Andrew works include all types of registered funds, including traditional open-end mutual funds, exchange-traded funds, money market funds and closed-end funds (including interval funds and tender offer funds).  As regular outside counsel, Andrew advises registered funds on various aspects of the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other applicable federal securities laws during all stages of fund operation, including product development and fund formation matters and on-going SEC regulatory, compliance and registration requirements. Andrew also counsels fund independent directors on oversight matters, including with respect to their fiduciary and oversight responsibilities, and he regularly advises investment advisers on various aspects of the Investment Advisers Act of 1940 in connection with a broad range of regulatory and transactional matters.

Prior to joining Goodwin in 2016, Andrew served as an associate in the investment management practice group of another international law firm. While in law school, Andrew served as a legal intern in the Division of Examinations at the U.S. Securities and Exchange Commission and in the Division of Enforcement at the Financial Industry Regulatory Authority, Inc.

Andrew was named a “Rising Star” at the 2021 Mutual Fund Industry and ETF Awards. The Rising Star award highlights up-and-comers who have made significant strides early in their careers and whose excellence, achievements, and dedication to the registered fund industry have stood out.

Andrew regularly prepares thought leadership pieces relating to the investment management industry, including externally published articles, Goodwin client alerts and legal updates to the firm’s weekly Financial Services Alert.

His other recent publications include:

• Co-author, “SEC Updates Regulatory Framework for Good Faith Determinations of Fair Value,” Journal of Investment Compliance, Volume 22, Issue 2, July 2021
• “Whistleblower Rules – Time for an Ombudsman?” Webinar, co-sponsored by MFDF and Goodwin Procter, March 2020