|
Ellen Drought is a shareholder in the Securities Practice Group, where she specializes in investment management law. Ellen provides advice to mutual funds and other financial services companies with respect to SEC compliance and reporting, mergers and acquisitions, new product formation and general corporate matters. Ellen graduated cum laude from Williams College with a B.A. in history. She earned her M.A. in history from the University of Wisconsin and her J.D. with honors from the University of Wisconsin Law School. She served as senior articles editor of the Wisconsin Law Review and was selected for Order of the Coif.
Representative Matters
Recent transactions Ellen has assisted with include:
Representation of a national investment advisory firm in connection with the sale of its mutual fund, separate account, hedge fund and brokerage business. Representation of several financial services companies in connection with acquisitions of investment management firms, mutual funds and broker-dealers. Representation of mutual funds and investment advisers in connection with SEC registration and ongoing compliance. Advising mutual fund boards of directors regarding governance and compliance matters. Representation of several privately offered hedge funds and venture funds. Advising clients regarding start-up issues, such as broker-dealer and investment adviser registration and new mutual fund offerings. Representation of a large public pension fund in connection with corporate governance matters, including testimony before the Public Company Accounting Oversight Board.
Publications
"Section 16 Considerations for Investment Advisers"
The Investment Lawyer
June 2007
"Insider Trading by Advisory Personnel: What is it and How Can it be Prevented?"
NSCP Currents (a publication of the National Society of Compliance Professionals)
March/April 2007
Admitted to Practice
Wisconsin - 1998
Professional Association Memberships
American Bar Association
Milwaukee Bar Association
Wisconsin State Bar Association
Activities
Ice Age Park and Trail Foundation - Director
Education
Juris Doctor, University of Wisconsin Law School, with honors, Order of the Coif
Master of Arts, University of Wisconsin-Madison, History
Bachelor of Arts, Williams College, cum laude, History.
| 