Jason F. Monfort

Jason has worked with clients on a wide range of regulatory, corporate and transactional matters, including:

• Counseling mutual fund and exchange-traded fund complexes and their boards of directors/trustees on various aspects of the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933 and other federal securities laws during all stages of investment company operation, including fund formation matters and ongoing Securities and Exchange Commission regulatory, compliance and registration requirements, and corporate governance matters.
• Counseling U.S. and non-U.S. registered investment advisers regarding operation, registration and compliance, including with respect to the Investment Advisers Act of 1940, the Securities Act of 1933, the Sarbanes-Oxley Act of 2002, the Securities Exchange Act of 1934, the Gramm-Leach-Bliley Act, the Commodity Exchange Act and the Commodity Futures Modernization Act of 2000.
• Counseling on mergers and acquisitions involving registered investment advisers, ope-end and closed-end mutual funds, exchange-traded funds and business development companies.
• Counseling registered funds, including open-, closed-, interval and exchange-traded funds, and their boards of directors/trustees on shareholder activism and related corporate governance matters.
• Advising insurance companies on life, annuity and other financial products, including with respect to structure, legal and regulatory compliance, marketing and sales.
• Representing insurance companies, investment advisers, registered and private fund complexes and boards of directors in connection with transactions, including mergers, acquisitions, stock purchases, joint ventures, reorganizations, redomicilings and liquidations.
• Counseling investment advisers and broker-dealers in connection with a broad range of regulatory and transactional matters, including registration and compliance filings with the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority and the National Futures Association.
• Advising investment advisers, insurance companies and other financial institution clients on investment management solutions, including private fund offerings, model portfolio licensing, proprietary indexing, variable annuity products, and digital asset and blockchain solutions.