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Alan C. Porter

Fax +1.202.778.9100
Mr. Porter is a partner in the Washington, D.C. office with more than 30 years of experience as an investment management and securities lawyer. His practice focuses on representing financial services firms, principally registered investment companies and investment advisers. Mr. Porter advises clients regarding a variety of regulatory and corporate matters, including the public and private offering of fund securities, exemptive applications, no-action letter requests, and other filings with the U.S. Securities and Exchange Commission, investment adviser and company merger and acquisition transactions, and governmental and self-regulatory compliance, inspection, and enforcement matters. His practice also includes representation of fund independent directors/trustees. Mr. Porter has been recognized as being among the nation’s leading investment management attorneys by The Legal 500 United States (2009 edition).

Professional Background

Prior to entering private practice, Mr. Porter served on the staff of the U.S. Securities and Exchange Commission in the Division of Investment Management.

Speaking Engagements

Mr. Porter is a regular speaker and panelist at industry conferences and seminars. He has been a speaker at seminars conducted by the SIFMA Compliance and Legal Society and the NRS Center for Compliance Professionals, and an instructor for “Mutual Fund Regulation A to Z” and “The Investment Advisers Act A to Z” workshops.
  • Represented a privately-owned investment management firm in connection with an internal corporate restructuring, the sale of equity interests to key employees, and the launch of a new private equity advisory business
  • Represented investment companies and their independent directors in connection regulatory inquiries concerning liquidity and fair valuation of portfolio investments in sub-prime and other fixed income securities
  • Served as interim Chief Legal Counsel for financial services firm through the sale of its mutual fund family, winding up, and deregistration
  • Advised broker-dealers regarding payments to registered investment advisers and other regulatory matters affecting investment adviser services platforms
  • Advised a broker-dealer affiliated adviser on consolidation and documentation of existing wrap-fee programs
  • Organized and prepared registration statements for open-end funds and closed-end funds
  • Represented independent directors/trustees of open-end and closed-end funds, including advising on management, service, and distribution fees and fund governance matters
  • Prepared and reviewed compliance programs for public and private funds and investment advisers; conducted legal and regulatory examinations of funds and advisers
  • Advised on SEC examinations and regulatory inquiries
  • Represented investment advisers, funds, and boards in ownership restructurings, changes of control, sales of advisory businesses, and affiliated and third-party fund reorganizations
  • Liquidated, dissolved, and deregistered investment companies and advisers