Malik Law Group

678.279.5478 [email protected]


Registered Investment Companies

Malik Law Group’s services regarding registered investment companies (“mutual funds”) include:

Organizing a mutual fund as a legal entity

Registering a mutual fund at the Federal and state levels, including preparing prospectuses, registration statements, and post-effective amendments, and reviewing annual and semi-annual reports and other periodic Securities and Exchange Commission (“SEC”) filings

Preparing and negotiating agreements with third party service providers, including investment advisers, custodians, transfer agents, accountants, administrators, and shareholder servicing agents

Providing guidance regarding the engagement of independent directors for the mutual fund

Providing guidance to a mutual fund’s boards of directors regarding board responsibilities, including, but not limited to, monitoring affiliated transactions, valuation and pricing of shares, code of ethics violations, and approval of advisory agreement

Providing guidance for the organizational board meeting of a mutual fund, including all required start-up procedures

Attending quarterly meetings of the board of the directors and preparing board materials

Attending annual or special meetings of shareholders and preparing proxy statements

Providing advice on general compliance and legal issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Security Exchange Act of 1934, as well as state securities laws and the regulations of the Financial Industry Regulatory Authority (“FINRA”)

Reviewing advertising and marketing materials

Assisting with SEC examinations and deficiency letters

In summary, Malik Law Group offers comprehensive guidance to the set-up, launch, and ongoing regulatory compliance of mutual funds.

Examples of Transactions:

Registering investment companies with the SEC;

Handling regular filings on behalf of investment companies;

Serving as counsel to a trust (the investment company), independent trustees, and directors;

Providing general guidelines to an investment company with respect to covered transactions that might otherwise be considered a senior security; and

Determining if seed capital from an Irish investment company or UCIT may be invested into a U.S. investment company pursuant to Section 12(d)(1)(G) of the Investment Company Act of 1940.