Mark C. Amorosi

Represented a start-up investment adviser and a registered mutual fund family consisting of 5 principal protection funds with approximately $25 million in assets under management. Have represented insurance companies in connection with obtaining SEC approval of dozens of insurance company separate account substitution transactions.

Represented life insurance company clients in connection with the development and registration of new variable annuity and variable life insurance products.

Advised the U.S.-based mutual fund family of one of the largest international financial services companies in the world consisting of approximately 25 funds and $15 billion in assets under management.

Represented the United States asset management arm of one of the largest insurance companies in the world as well as its U.S.-based investment company complex with more than 100 funds and over $100 billion in assets under management.

Represented investment advisers and fund families in connection with dozens of regulatory examinations conducted by various regulators, including the SEC and FINRA.

Regularly advised one of the largest global asset managers on distribution and other issues relating to the sale of variable insurance products.

Advised a global financial services company in connection with its establishment of Undertakings for Collective Investments in Transferable Securities (UCITS) based in Ireland and offered to European investors.

Represented a financial institution board overseeing a family of collective investment funds consisting of over 25 funds, including one of the largest stable value funds in the United States.

Represented investment adviser and wealth manager with approximately $10B in assets under management in connection with separate account and fund advisory businesses.

Advised clients on hundreds of fund formations and offerings relating to U.S. mutual funds, exchange-traded funds, and private investment funds.

Represented a start-up investment adviser and a registered mutual fund family consisting of 5 principal protection funds with approximately $25 million in assets under management. Have represented insurance companies in connection with obtaining SEC approval of dozens of insurance company separate account substitution transactions.

Advised an investment company complex consisting of 12 retail and institutional mutual funds with approximately $3 billion in assets under management, mostly in money market funds.

Advised one of the largest independent brokerage firms in the United States in connection with the establishment and registration of a mutual fund family consisting of 6 sub-advised mutual funds.

Represented leading industry trade association on policy matters and related rule proposals by the U.S. Commodity Futures Trading Commission to impose additional restrictions on investment managers and funds that trade derivatives.

Represented boutique investment manager with approximately $1.5B in assets under management in connection with institutional separate account and fund advisory business.

Represented one of the largest ETF sponsors in the United States in connection with management of its advisory and ETF business.

Represented an investment adviser in connection with the sale of a portion of its mutual fund business with approximately $5 billion in assets under management to another investment adviser, including the drafting and negotiation of the asset purchase agreement and related fund merger and proxy solicitation documents.

Represented the mutual funds, investment adviser and principal underwriter of a mutual fund family with 22 retail mutual funds and 16 insurance-dedicated funds with aggregate assets under management of approximately $8 billion.

Represented leading industry trade association on policy matters relating to variable insurance products.

Represented an investment adviser in connection with the sale of a portion of its mutual fund business consisting of two mutual funds and approximately $100 million in assets under management to another investment adviser.

Represented the private investment fund complex of a large global asset manager consisting of 12 private investment funds using a wide range of strategies and structures.

Represented multiple investment advisers in connection with fund adoptions, including related agreements and fund proxy solicitation documents, involving the transfer of management of mutual funds from one investment adviser to another.

Represented an investment adviser and investment company complex in connection with the establishment and registration of a family of funds-of-funds, two funds-of-exchange-traded funds, and two families of target date retirement funds.

Represented a start-up investment manager in connection with the formation and registration of the manager and the establishment of a separate account advisory business and a private fund focusing on small cap equities.

Advised clients on dozens of fund reorganizations, including preparation of the fund merger and proxy solicitation materials, preparation of board materials, and advice on issues relating to the transaction and proxy solicitation.