Margery K. Neale is a partner and Co-Chair of Willkie Farr & Gallagher LLP's Asset Management Group. She specializes in counseling investment companies, investment advisers, fund sponsors and independent directors in all aspects of the fund business.
Ms. Neale has significant experience advising on the creation and operation of registered open-end and closed-end investment companies, exchange traded funds (ETFs), and business development companies. She regularly advises on fund governance, regulatory compliance and a broad range of transactions involving funds and/or advisory organizations. She represents many different types of clients in the registered fund industry, including some of the largest and most well-known fund groups as well as smaller fund families and recent entrants.
Ms. Neale advises investment advisers on a wide range of matters. Her clients include advisers to registered funds, private funds and separately managed accounts. She advises on all aspects of an adviser’s business, including regulatory compliance, new product development, and change of control transactions. She serves as counsel to dually registered investment advisers/broker-dealers in connection with advisory programs, including wrap fee programs and asset allocation programs involving mutual funds.
Prior to joining Willkie, Ms. Neale was a partner at Shearman & Sterling LLP.
Ms. Neale received her A.B. from Smith College and her J.D. from Yale Law School.
She is the author of Bloomberg BNA Securities Practice Portfolio Series No. 321, Regulation of Investment Advisers Under the Investment Advisers Act.
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