Jeremy C. Smith
Jeremy’s practice focuses on advising mutual funds, closed-end funds and ETFs, their independent directors, and investment advisers. Jeremy advises clients regularly regarding the establishment, registration, and operation of retail and institutional investment products, including ETFs, closed-end funds and wrap products. He has significant experience structuring and representing registered funds with alternative investment strategies. Jeremy regularly assists clients experiencing or anticipating compliance, examination, enforcement, or other regulatory issues with the Securities and Exchange Commission and other regulatory agencies. He also has extensive experience with exchange listing and compliance matters.
- Serves as counsel to the DoubleLine Funds and their board of directors with respect to a broad range of regulatory and compliance matters, including the creation of new products.
- Advises Goldman Sachs Asset Management.
- Acts regularly as issuer counsel in respect of closed-end investment company initial public offerings, most recently as counsel to DoubleLine Income Solutions Fund and DoubleLine Opportunistic Credit Fund.
- Serves as counsel to the PNC Funds and PNC Capital Advisors, LLC.
- Serves as counsel to Schroders Investment Management North America Inc. and the U.S. mutual funds sponsored by Schroders.
- Has provided investment adviser regulatory advice to Pacific Investment Management Company LLC
- Serves as counsel to The Merger Fund, a registered open-end investment company using a merger-arbitrage investment strategy with over $5 billion in assets under management.
- Represents the independent trustees of Market Vectors ETFs, an exchange traded fund complex that specializes in international and non-traditional asset classes.
- Advised the Evergreen Funds and their Board of Directors in connection with their integration with the Wells Fargo family of funds.
- Advises a London-based investment adviser on the launch and operation of its U.S. mutual funds and related businesses.
- Quoted, “Quest for More Valuation Information Continues: Survey,” BoardIQ (October 20, 2015)
- Quoted, “New Liquidity Rules Will Make Fund Managers More Chicken-Hearted,” The Wall Street Journal (October 2, 2015)
- Author, “Fund Boards Should Act on SEC’s Stealth Valuation Guidance,” BoardIQ (January 2015)
- Quoted, “US Money Market Fund Regulation: The Market Reacts,” IFLR Magazine (November 2013)
- Speaker, “Bond Fund Liquidity Management: A Board Perspective Distribution,” Distribution, Product and Pricing Considerations for Fund Directors within an Evolving Marketplace (September 10, 2015)
- Moderator, “Liquidity Issues and Other Challenges in Fixed Income,” Mutual Fund Directors Forum 2015 Policy Conference (April 9, 2015)