Home > Resources > Operation and Regulation of Investment Vehicles

Operation and Regulation of Investment Vehicles

PRESENTATION September 19, 2014

Speaker / Author

Fabio Battaglia

Patner, Stradley Ronon Attorneys at Law

Fabio Battaglia is a partner at Stradley Ronon Attorneys at Law and focuses his practice on counseling investment companies and investment advisers in connection with various regulatory, compliance and transactional issues. Mr. Battaglia counsels clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; and the drafting of compliance procedures and corporate policies. He also has extensive experience dealing with multi-manager and sub-advised mutual funds, exchange-traded funds and closed-end funds Examples of the types of matters on which Mr. Battaglia has assisted clients include:

Christopher Zimmerman

Counsel, Stradley Ronon Stevens & Young, LLP

Christopher Zimmerman serves as counsel in the Washington D.C. office of Stradley Ronon Stevens & Young, LLP. He focuses his practice on assisting investment companies, investment advisers and broker-dealers on federal securities law matters. Mr. Zimmerman provides analysis for investment management clients in all aspects of legal representation, including:

  • counseling clients on various issues arising under federal securities laws in connection with the organization, registration and regulation of investment companies and investment advisers;
  • developing compliance policies and procedures for the investment companies and investment advisers; and
  • counseling investment advisers on various compliance issues under the Investment Advisers Act of 1940, including Form ADV ... Read More

Nick Kiritz

Senior Principal, Promontory’s Quantitative Services Group

Nick Kiritz is a senior principal in Promontory’s quantitative services group. Prior to joining Promontory, Nick served as a risk manager at Constellation Energy and Exelon, where he led market risk management for a large merchant generation fleet; helped manage risks related to electricity, fuel, interest rates and foreign exchange; developed an economic-capital model; and shaped policy for market risk, trader control, liquidity risk and model-risk management. Before his work in energy, he led development and management of Fannie Mae’s model governance and validation program and later led its economic-capital modeling group. While at the OCC, Nick led the quantitative ... Read More