K. Michael Carlton

Associate

Michael Carlton focuses his practice on the regulation of investment companies and investment advisers. Michael regularly assists clients with the formation, registration, and ongoing regulation of investment companies, including active and passive exchange-traded funds. Michael also provides clients with ongoing advice regarding various regulatory compliance and securities law issues such as the filing of registration statements, shareholder reports, proxy statements, and exemptive applications with the SEC. Additionally, Michael counsels clients on transactional matters such as fund reorganizations, mergers, and acquisitions involving investment companies. He also advises insurance companies on the regulation of variable insurance products under the federal securities laws.