Kaitlin McGrath advises U.S. registered investment companies (including mutual funds, closed-end funds, and exchange-traded funds), as well as their investment advisers and independent directors/trustees, on a wide range of corporate, regulatory, compliance, and enforcement matters.
Ms. McGrath has advised clients on the development and registration of new funds, fund reorganizations, investment adviser acquisitions, fund and adviser compliance programs and codes of ethics, marketing and disclosure issues, general fund and adviser compliance matters, and fund governance and fiduciary oversight matters. She has experience seeking exemptive and no-action relief from the Securities and Exchange Commission and representing clients in connection with SEC investigations and enforcement matters.
Ms. McGrath has particular expertise with exchange-traded funds and has assisted clients with launching new ETF business lines and developing novel ETFs. She also has significant experience advising clients on affiliated transactions and conflicts of interest related matters, including cross trading and principal transactions.