Mr. Carlson advises asset management firms on regulatory issues relating to the launch and operation of registered funds. Having spent several years as in-house counsel at two asset management firms, he has direct experience with the issues investment managers to these funds face every day.
“Christopher brings with him extensive, hands-on experience advising investment funds, and that makes him a great fit for our strategic focus,” said Seward & Kissel managing partner Jim Cofer. “We are pleased he is joining the firm and know he will be a tremendous asset to our clients.”
Mr. Carlson has counseled advisers, funds, and fund boards on the full spectrum of registered funds, including proprietary mutual funds, exchange-traded funds (ETFs), multi-manager funds, master-feeder funds, and closed-end funds. He also specializes in helping clients navigate the regulatory framework applicable to listed and unlisted business development companies (BDCs). Mr. Carlson assists clients with regulatory and compliance issues such as SEC filings, securities regulations, and corporate governance issues, and helps establish compliance programs for newly registered funds and BDCs. He frequently handles fund transactional matters as well, including fund adoptions and the negotiation and closing of credit facilities for mutual funds, closed-end funds, and BDCs.
“Seward & Kissel has a stellar reputation among investment management firms and I’m thrilled to be joining such an impressive team,” said Mr. Carlson. “I look forward to working with this talented group of lawyers and adding any value I can for the firm’s clients.”
Mr. Carlson received his J.D., with honors, from the George Washington University Law School and holds a B.A., with honors, from the Catholic University of America. Prior to joining Seward & Kissel, he was counsel with Thompson Hine LLP.
About Seward & Kissel LLP
Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with offices in New York City and Washington, D.C., with particular expertise in the financial services, investment management, banking, and shipping industries. The Firm is well known for its representation of investment advisers and related investment funds, broker-dealers, major commercial banks, institutional investors, and transportation companies (particularly in the shipping area). Its practices primarily focus on corporate, M&A, securities, litigation (including white collar), restructuring/bankruptcy, real estate, regulatory, tax, employment, and ERISA for clients seeking legal expertise in these areas.