Elizabeth J. Reza counsels asset managers on regulatory issues that affect the creation and operation of registered investment companies, including the development, organization and offering of new funds; the creation and implementation of compliance programs; the preparation and review of disclosure in offering documents, shareholder communications, and advertising materials; the establishment of effective governance structures and practices; and the preparation of responses to regulatory inquiries and investigations.
Elizabeth has significant experience advising with respect to fund mergers, including large-scale projects involving many funds both within a single complex and across unaffiliated complexes.
Elizabeth also regularly advises asset managers on matters relating to their SEC registration; preparation of, and updates to, their Form ADV filings/brochures and other SEC filings; and compliance with Investment Advisers Act requirements.
Elizabeth prepares (or assists clients in drafting) compliance policies and procedures, and keeps clients informed of regulatory changes that may affect their compliance program.
Elizabeth also counsels independent director/trustee clients regarding “best practices” with respect to their oversight of fund complexes, including committee structures and functions; approval of advisory contracts and distribution arrangements; and board and peer evaluations.
She works closely with her independent director/trustee clients to help them discharge their fiduciary duties, while also helping to facilitate practical solutions that enable the funds’ adviser and board to work together in the best interests of fund shareholders.
- JD, Columbia University School of Law, 1997; Harlan Fiske Stone Scholar; Member, Law Review
- BA, Columbia College, Columbia University, 1992
ADMISSIONS : Massachusetts
PROFESSIONAL & CIVIC ACTIVITIES : Board, Lupus Foundation New England
- Represents the Voya Funds mutual fund and closed end fund complex.
- Represents the Independent Trustees of the Nationwide Funds.
- Represents the Independent Trustees of the Deutsche Funds.
- Represents Grantham, Mayo, Van Otterloo & Co., LLC and the GMO mutual fund complex on a wide range of matters as primary outside counsel.
- Represents the Independent Trustees of the MFS Funds and the MFS Funds mutual fund and closed end fund complex.
- Represents several asset managers on a wide range of regulatory and compliance matters relevant to their services to mutual funds and separate account clients.
Rate : $$$