Arie Heijkoop

Ongoing Representations

• Guiding clients through complex and high-risk decision-making, potential violations of laws or regulations, conflicts of interests and response to shareholder demands
• Advising boards in connection with annual contract renewal process
• Advising fund groups on annual update of fund registrations
• Advising closed-end funds with respect to investor communications, proxy matters and disclosure considerations
• Representing closed-end funds and their directors in fund mergers, common and preferred stock rights offerings, and tender offers
• Representing ETFs and their boards in the formation and operation of series of ETFs
• Update compliance policies and procedures for new regulatory requirements
• Advising board and fund management on engagement with the SEC and regulators
• Representing fund advisers and fund boards on acquisitions or sales of investment advisory businesses
• Analyzing public companies and advising on investment company status under the Investment Company Act of 1940

Specific Transactions / Client Work

• Represent a life insurance company in the merger of newly acquired funds through its acquisition of another life and annuity complex
• Represent a fund board through the spin-off by a life insurance company of its retail funds and their adviser
• Advise an investment adviser through its acquisition of a series of variable investment funds and the portfolio management group from a life insurance company
• Represent an investment adviser in the acquisition of an unaffiliated fund complex along with its investment adviser and various subsidiary subadvisers
• Represent an investment adviser in the registration and public offering of an existing private investment product
• Oversee and complete the merger of a closed-end fund into an open-end fund
• Represent an investment adviser in its acquisition of a closed-end fund serving as a the investment vehicle for a pension plan
• Represent variable fund groups in launching new series of managed volatility funds after the financial crisis, which utilized offshore subsidiaries and interest rate protections for the insurance company issuers
• Represent a fund sponsor in the creation of a newly formed BDC and its subsequent 1940 Act deregistration and transition to an operating company registered under the 1933 Act
• Represent the board of a BDC in its acquisition by a private equity sponsor
• Represent a broker dealer being investigated by FINRA for inside information allegations
• Create compliance policies and procedures for a newly formed broker dealer

Some of these representations were handled by Arie prior to joining Haynes Boone.

• “Reporting Requirements,” co-author, chapter in “Mutual Funds: Regulation & Operation” published by Law Journal Press, June 2011.
• “The Regulation of Joint Ventures by Competition Authorities in the United States and Europe,” co-author, International Practitioner's Desk Book Series: Joint Ventures in the International Arena in 2003.