Tim Cormier practices in the corporate department and is counsel in the asset management group. Tim’s practice focuses on representing registered investment companies and their independent trustees, as well as investment advisers, in regulatory, transactional, and compliance matters. He has experience with the establishment, registration, and operation of fund products, the reorganization of mutual funds and developing, revising and maintenance of investment advisers’ and investment companies’ compliance programs.
Prior to attending law school, Tim worked as an economic consultant for CRA International.
- Launch of 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 and responding to SEC comments on those filings.
- Affiliated and unaffiliated Fund mergers, including the merger of closed-end funds into open-end funds and mergers in connection with the corporate merger of unaffiliated advisory entities.
- Advising with respect to compliance programs and related matters under Rules 38a-1 and 206(4)-7.