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Mutual Funds and Exchange-Traded Funds

Attorney Daphne Tippens Chisolm has 15 years of experience in securities regulation, eight of which were spent working for the U.S. Securities and Exchange Commission’s Division of Investment Management. Ms. Chisolm is committed to helping you meet your regulatory and compliance needs whether you are an entrepreneur interested in starting a fund or an established fund sponsor seeking a second opinion. She can assist you with a number of services, including:

  • Product design
  • Summary prospectus compliance
  • Initial registration of shares
  • Annual updates to registration statements
  • ETF exemptive applications
  • Exchange listing
  • Routine and non-routine exemptive applications
  • Board governance
  • Drafting of requests for no-action relief
  • Investment Company Act compliance
  • Preparing for SEC examinations
  • Responding to deficiency letters from the SEC
  • Review of investment company agreements
  • Troubleshooting

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Address: 11524 C-236 Providence Road Charlotte, NC 28277 Phone: 704-806-2387