Andrew L. Zutz is a partner in Goodwin’s Financial Industry group and a member of its Investment Management practice. Mr. Zutz 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 Mr. Zutz 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, Mr. Zutz 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. Mr. Zutz 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.
Mr. Zutz 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:
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