Elizabeth is a partner in the asset management group and co-head of the firm’s registered funds practice. Elizabeth counsels asset managers on regulatory issues that affect the creation and operation of registered investment companies, including the development, organization and offering of new funds; the creation and implementation of compliance programs; the preparation and review of disclosure in offering documents, shareholder communications, and advertising materials; the establishment of effective governance structures and practices; and the preparation of responses to regulatory inquiries and investigations. Elizabeth works regularly with asset managers to design and structure registered fund products (including open-end funds, closed-end funds, and interval funds) that invest in alternative investment strategies. She also has significant experience advising with respect to fund mergers, including large-scale projects involving many funds both within a single complex and across unaffiliated complexes.
Elizabeth also regularly advises asset managers on matters relating to their SEC registration; preparation of, and updates to, their Form ADV filings/brochures and other SEC filings; and compliance with Investment Advisers Act requirements. Elizabeth prepares (or assists clients in drafting) compliance policies and procedures, and keeps clients informed of regulatory changes that may affect their compliance program.