Amy Ward Pershkow

Amy Pershkow helps investment companies, advisers and financial services firms navigate regulatory and operational challenges under U.S. securities laws, ensuring they operate legally and efficiently while achieving their business goals.

Amy’s clients are primarily investment firms and their independent directors, often based in the U.S. but with global operations. They include mutual funds, closed-end funds, funds of funds, multi-class funds, manager of managers funds, registered and private fund advisers, real estate and private equity managers, and financial services companies.

She advises on the formation, registration, restructuring, mergers, acquisitions and liquidation of investment companies and advisers, and she helps her clients comply with SEC regulations and respond effectively to SEC inquiries and examinations. Amy anticipates potential compliance issues before they arise, providing proactive guidance that streamlines operations and reduces regulatory exposure while enabling strategic decision-making.

Amy also represents the mutual fund industry’s “captive” insurance company, evaluating claims and advising on coverage matters. Amy is a recognized industry leader who is frequently invited to speak on investment industry compliance and management.