Mike O’Hare focuses his practice on advising investment companies (including mutual funds, ETFs, closed-end funds, business development companies and private funds), independent directors, investment advisers, broker dealers and financial services organizations with regard to securities and corporate laws and regulations, compliance and transactional matters.
In addition to work associated with the registration, regulation and operation of investment companies and investment advisers under federal and state securities laws, Mike has helped a number of established investment firms launch their first registered and unregistered investment company products. He counsels clients with regard to regulatory and compliance matters such as SEC exemptive and interpretive relief, SEC inspections and investigations, compliance policies and procedures, special investments and valuation of securities. Mike also has experience advising fund boards and their independent directors on issues relating to fiduciary duties and fund governance. He assists clients with fund creation and operation; business transactions such as fund and adviser restructurings, acquisitions and other corporate transactions; and negotiation of various service provider and intermediary agreements. He has particular experience with regard to corporate governance and represents both funds and fund independent directors.
Mike’s fund clients include multi-manager funds, money market funds, funds of funds, liquid alternative funds, closed-end interval funds and funds underlying variable annuity products.