Kevin Hardy represents public and private funds, fund sponsors, investment advisers, broker-dealers, investment banks and other financial institutions in connection with the design and formation of investment funds and products, securities offerings, regulatory and compliance matters, transactions and other corporate matters.
In the registered investment company area, Mr. Hardy advises clients in the development, structuring, operation and regulation of mutual funds, closed-end funds and exchange-traded funds.
He has represented fund sponsors and underwriters in initial public offerings of closed-end funds and secondary market financings, including rights offerings and debt and preferred securities offerings by such funds. Fund sponsors advised by Mr. Hardy have included Guggenheim Funds, BlackRock, Northern Trust and Invesco Van Kampen.
He has represented investment banks, including UBS, Merrill Lynch and A.G. Edwards, as underwriters of offerings by closed-end funds sponsored by firms such as Eaton Vance, PIMCO, Nuveen, John Hancock, Nicholas Applegate and First Trust.
Mr. Hardy regularly counsels registered investment funds and their boards of directors in connection with directors’ duties, corporate governance and regulatory matters.
Mr. Hardy represents investment advisers and other financial services firms in transactions, financings and a wide range of operational and regulatory matters, including Advisers Act registration, regulatory examinations and the structuring of employee compensation and equity participation plans.
He has advised buyers and sellers in a number of significant transactions in the asset management industry, including AMVESCAP plc in its acquisition of PowerShares Capital Management and Nuveen Investments in connection with its acquisition by an investor group led by Madison Dearborn Partners and its acquisition of First American Funds Advisors.
Mr. Hardy also represents sponsors, investors and placement agents in the formation and operation of U.S. and offshore private investment funds and other unregistered investment vehicles.
- J.D., Northwestern University School of Law, 2003 (cum laude, Order of the Coif, Northwestern University Law Review)
- A.B., Georgetown University, 2000 (cum laude)
Admissions : Illinois
Rate : $$$