Alan focuses his practice in the areas of investment companies and bank regulatory matters. Alan serves as counsel to large and small investment companies and/or their independent boards. These investment company relationships represent assets in excess of $85 billion over 125 individual funds, dozens of advisors and sub-advisors and involve virtually every fund type and structure. Alan has also been involved in all aspects of mutual fund practice, including proxies, consolidations, reorganizations, and sales commission financing transactions. In addition, Alan counsels clients on a wide range of bank regulatory matters relating to bank investment management and trust products.
Representative Clients and Matters
- Advise independent Board of Nationwide Funds on manager of managers oversight of over 25 prominent third party advisory firms.
- Advise funds and boards with respect to SEC inspections, inquiries and enforcement actions.
- Advise funds and their boards on numerous fund acquisitions/consolidations, including a $58 billion integration of two mutual fund firms.
- Advise funds and their boards on money market fund matters, including manager interventions to prevent “breaking the buck” and current regulatory reforms.
- Advise Sterling Funds on 2011 rebranding and product line expansion.
- Advise Artisan Funds and directors on the fund advisor’ cross boarder expansion and 2011 “going public” transaction.
Honors & Awards
- Chambers USA: America's Leading Lawyers for Business (2009-2010)
Professional & Civic Activities
- Member, Banking Law and Federal Regulation of Securities Committees of the ABA Business Law Section
Government Service
- Alan served as Senior Attorney in the Legal Advisory Services Division of the Office of the Chief Counsel in the Office of the Comptroller of the Currency from 1979 to 1984.
©1996-2012 Ropes & Gray LLP. All rights reserved.
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Education
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JD, high honors, The George Washington University Law School, 1979
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BA, magna cum laude, University at Buffalo, State University of New York, 1974
Bar Admissions
- District of Columbia, 1979
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