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Michael P. Malloy is a partner of Drinker Biddle & Reath LLP and chair of its Investment Management Practice Group. He counsels a wide range of national and multinational financial institutions. He has significant experience in a diverse practice in investment company matters, corporate law, securities and finance and day-to-day business matters of corporations, partnerships and business trusts, including public and private securities offerings.
Investment Companies. Mike has extensive experience in organizing, counseling and reorganizing open- and closed-end investment companies. His clients include proprietary and private label funds, multimanager funds, single and multiseries funds, single and multiclass funds, and master-feeder funds. Mike also has substantial experience with counseling boards of directors and related parties on: fund governance; fiduciary duties; best practices; compliance policies and procedures; and regulatory investigations, inspections and subpoenas. He has worked closely with regulators on a broad range of issues and products.
Hedge Funds, Private Equity Funds and Alternative Investment Products. Mike’s practice also focuses on advising domestic and offshore private funds and private equity funds in planning, funding and structuring strategies (including the associated documentation and agreements) and in their day-to-day operations. He has worked with registered hedge funds and hedge fund of funds and exchange traded funds.
Investment Advisers. Mike has experience with the organization, day-to-day operations and mergers of investment advisers. He counsels them on investment, regulatory and compliance issues such as SEC investigations and inspections, compliance policies and procedures, contract reviews, advertising, soft dollars, trade allocation and valuation of securities.
Other Financial Institutions. Mike’s practice also encompasses counseling broker/dealers, investment banks, commercial and savings banks and trust companies on investment management regulations and issues.
General Corporate Representation. Mike also has general corporate experience including transactional work (such as acquisitions and dispositions), securities work (such as public offerings) and general business representation for corporate, partnership and individual clients.
Professional Background. Mike received his undergraduate degree from Boston College (summa cum laude, 1981) and his law degree from Boston College Law School (cum laude, 1984, editor of the law review). He is a member of the Philadelphia Bar Association and the Business Section of the American Bar Association. Mike serves on the Communications Committee of the Managed Funds Association. He has served as co-chair of the Investment Companies Committee of the Philadelphia Bar Association. Mike is a frequent speaker at securities law conferences, including those sponsored by the Investment Company Institute, West Legalworks, the Institute for International Research, the Managed Funds Association, Opal Financial Group, IBC Conferences USA and Institutional Investor. He has also authored many articles on investment management industry topics and developments. Mike is listed in The Best Lawyers in America in the specialty of Mutual Funds Law. | 