James Forbes is counsel in the corporate department and a member of the firm’s asset management group. James’s practice focuses on representing registered investment companies, their independent trustees and investment advisers in regulatory, transactional, and compliance matters. He regularly advises clients regarding the creation, registration, reorganization and operation of retail and institutional investment products, compliance and enforcement matters for investment advisers and registered funds, and the ongoing representation of registered funds’ boards of trustees. He also works with clients to respond to new regulation affecting the investment management industry.
Experience
- Launching new open- and closed-end registered investment companies.
- Launching alternative investment strategies in registered funds, such as managed volatility strategies, and total return and risk allocation strategies.
- Drafting and advising on SEC filings for registered funds and investment advisers, including registration statements, proxy statement/prospectuses, proxy statements and Form ADV/brochures.
- Advising with respect to fund reorganizations.
- Advising with respect to compliance programs and related matters under Rules 38a-1 and 206(4)-7.
Representative fund clients include those sponsored or advised by the following and their affiliates:
- Putnam Investment Management
- Grantham, Mayo, Van Otterloo & Co., LLC
- Cohen & Steers Capital Management
- Stone Ridge Asset Management