Adam T. Teufel regularly advises registered investment companies (including mutual funds, exchange-traded funds and closed-end funds), their investment advisers, distributors and their boards of directors on a wide range of regulatory and corporate matters, such as the development and launch of new funds, regulatory compliance, fund governance, fund distribution and advertising, and fund/adviser reorganizations and acquisitions. He routinely represents funds and their advisers before the SEC and other regulators, and has expertise on issues arising under the Investment Company Act of 1940 and other federal securities laws pertaining to the asset management industry.
Mr. Teufel has significant expertise with respect to exchange-traded funds (ETFs), other exchange-traded products and their advisers, including obtaining SEC exemptive relief, the organization and launch of new ETF complexes and novel ETFs, and advising on a wide range of operational and compliance issues unique to ETFs.
Mr. Teufel is listed as a leading lawyer for registered funds in Chambers USA, which noted in its most recent edition that he is “called upon by investment companies to provide counsel on both corporate and regulatory issues surrounding ETFs and mutual funds.” Clients stated that “Adam is very responsive and is able to provide us with insights into the regulatory environment and industry trends. He provides thoughtful and practical legal guidance.” He has also been recognized by The Legal 500 (US) in the area of investment fund formation and management: mutual/registered funds.
- ESG Panel Discussion — Women in ETFs, Chevy Chase, MD (June 13, 2023)
- Regulatory Updates: ETF Changes and Challenges — Inside ETFs, Hollywood, Florida (June 2022)
- Pathways to ETFs for Mutual Fund Managers — Investment Company Institute Cboe, Webinar (July 27, 2021)
- Exchange-Traded Funds — PLI's Investment Management Institute 2020, Webcast (July 29, 2020)
- Implications of ETF Research Collaboration — Synapse 2018 presented by Nasdaq and the Villanova School of Business, Philadelphia, PA (November 9, 2018)
- SEC Proposes Rule to Allow Most ETFs to Operate without Exemptive Relief — Dechert LLP, Webinar (July 25, 2018)
- ETFs: The Onward March Continues — 2017 San Francisco Investment Management Symposium, San Francisco, CA (November 28, 2017)
- Current Developments Affecting the Fund Industry — Orlando, FL (March, 2016)
- Emory University, B.B.A., 2001
- The Catholic University of America, Columbus School of Law, J.D., 2006
- District of Columbia