Paul J. Delligatti

Mr. Delligatti works with clients on a wide range of securities, regulatory, corporate, disclosure and transactional matters, including:

• Counseling investment companies and independent directors on various aspects of the Investment Company Act of 1940, the Securities Act of 1933 and other federal securities laws during all stages of investment company operation, including fund formation matters and ongoing SEC regulatory, compliance and registration requirements.
• Representing funds and investment advisers in obtaining exemptive relief and no-action letters from the SEC or its staff.
• Representing funds, investment advisers and boards of directors in connection with investment adviser acquisitions and other transactions, as well as fund mergers, reorganizations, redomicilings and liquidations.
• Counseling investment advisers on various aspects of the Investment Advisers Act of 1940 in connection with a broad range of regulatory and transactional matters, as well as the application FINRA rules and Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements for those investment advisers registered as commodity pool operators.
• Developing and refining compliance manuals for investment companies and investment advisers, and advising on the implementation of effective compliance programs.
• Advising on matters relating to money market funds operating in accordance with Rule 2a-7 under the Investment Company Act of 1940 and on a broad range of distribution and advertising matters.