James V. Catano has extensive experience counseling mutual fund complexes, investment advisers and insurance companies on a wide range of securities, regulatory, corporate, disclosure, transactional, and other financial services matters. These matters include complex fund reorganization transactions, the preparation of registration and proxy statements, ongoing compliance and regulatory matters, and seeking exemptive, interpretive and no-action relief from the U.S. Securities and Exchange Commission or its staff. These matters also include the launch and operation of new fund products, including funds of funds and funds, that incorporate environmental, social and governance (ESG) factors into their investment processes.

Mr. Catano advises clients on the development, regulation, sale and administration of a variety of investment products, including open-end and closed-end mutual funds, money market funds, exchange-traded funds, and variable and fixed life insurance and annuity products. In addition, he advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary matters.

Mr. Catano is an adjunct professor at the Catholic University or America, Columbus School of Law, where he teaches a course on mutual funds and investment advisers.

    • SEC Compliance and Enforcement – The Catholic University of America Columbus School of Law’s ESG Investing Under the Federal Securities Law Conference, Washington, D.C. (October 28, 2022)
    • SEC Takes a Swing at New Money Market Fund Reforms — The Mutual Fund Directors Forum, Webinar (March 10, 2022)
    • Cryptocurrency and Blockchain Developments for Closed-End Funds — Investment Company Institute's Virtual Closed-End Fund Conference (November 10, 2021)
    • Money Market Funds: Regulators Primed for Further Reforms — The Mutual Fund Directors Forum, Webinar (July 15, 2021)
    • Money Market Funds – Managing Stress — Dechert LLP, Webinar (March 24, 2020)
    • Howey' Doing in the World of Securities Regulation? Rulemaking, Examination, Enforcement,and Litigation Developments and Priorities — The Insured Retirement Institute's ACTION19, Washington D.C. (May 17, 2019)
    • Beyond-MMF Investment Options: S-T and Ultra S-T Bond Funds — iMoneyNet's 21st Annual Money Market Expo, Middleburg, VA (March 5, 2019)
    • Board Oversight of Variable Product Funds — The Mutual Fund Directors Forum, Webinar (November 7, 2018)
    • Federal Regulatory Trends Affecting Variable Products and Underlying Funds — The Insured Retirement Institute's ACTION18, Washington D.C. (May 9, 2018)
    • DC Bar Association