Kevin Hardy

Represents funds, fund sponsors, investment advisers, broker-dealers, investment banks and other financial institutions in connection with the design and formation of investment funds and products, securities offerings, regulatory and compliance matters, transactions and other corporate matters. Advises clients in the development, structuring, operation and regulation of listed closed-end funds, listed business development companies (BDCs). interval closed-end funds, tender offer closed-end funds, non-traded BDCs, private BDCs, mutual funds and exchange-traded funds (ETFs). Has represented fund sponsors and underwriters in IPOs and secondary market financings by closed-end funds and BDCs, including common share offerings, at-the-market offerings, rights offerings, public and private notes offerings, preferred stock offerings and convertible securities offerings. Regularly counsels registered investment funds and BDCs their boards of directors in connection with directors’ duties, corporate governance and regulatory matters, including seeking and obtaining exemptive or no-action relief from the Securities and Exchange Commission and FINRA. Extensive experience representing closed-end funds in activist defense matters, including corporate preparedness, contested proxy solicitations, responses to shareholder activists and related matters. Represents financial services firms in transactions, financings and a wide range of operational and regulatory matters involving investment adviser and investment company regulation. Counsels companies in connection with investment company status issues.

J.D., Northwestern University School of Law, 2003 (cum laude, Order of the Coif, Northwestern University Law Review); A.B., Georgetown University, 2000 (cum laude).