Tanya L. Cody advises investment companies, including mutual funds, exchange-traded funds (ETFs), interval funds, closed-end funds, and other financial services industry clients on the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA regulations.
Tanya’s representation of investment companies has included advice on formation and continued operations, including exemptive relief from the SEC in connection with various matters arising under the Investment Company Act of 1940. She also has experience on a breadth of transactions, including mutual fund reorganizations and mergers and hedge fund conversions to mutual funds and has advised on a broad range of investments, including derivative products and other alternative investments.
Tanya also counsels investment company boards of directors, private funds, and investment advisers. She advises on structuring, formation and continued operations both to domestic and offshore private investment vehicles, including hedge funds and private equity funds, among others.
Tanya’s in-house experience includes serving as lead counsel for registration matters for a large investment management, insurance products, and financial services company with more than 160 registered mutual funds and $49 billion in assets under management.