Alan Goldberg

Partner

Alan Goldberg has been involved in the regulation, and representation, of investment advisers and investment companies for more than 35 years. Formerly at the U.S. Securities and Exchange Commission (SEC) and a large, New York-based Wall Street law firm, Alan is sought after for his deep and well-rounded knowledge of the issues facing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools, and family offices.

Alan handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. He regularly prepares regulatory filings and applications on behalf of investment companies, including mutual funds, exchange-traded funds, closed-end funds and investment advisers. He has performed numerous comprehensive compliance reviews of investment advisers and investment companies.

See more at: https://www.stradley.com/alan-p-goldberg