University of Notre Dame Law School, J.D., cum laude, 2006
University of Illinois at Urbana-Champaign, B.S., Finance, highest honors, 2003
Matt Wirig has been practicing law since 2006 when he joined Chapman and Cutler LLP. He has extensive experience representing clients involved in the investment management industry. Matt's experience includes the representation of investment companies including unit investment trusts, open-end funds, closed-end funds, hedge funds and private equity funds. He has worked extensively with investment advisers, broker-dealers and municipal securities dealers in a wide range of matters including the development of regulatory compliance and risk management programs. He is also an Adjunct Professor at Notre Dame Law School.
- Representation of investment companies in matters regarding their organization, federal and state registration, preparation of offering materials, regulatory analysis and compliance obligations.
- Representation of investment advisers with regard to their organization, federal and state registration requirements, advertising restrictions, contract provisions, periodic filings, continuing compliance obligations and their preparation of compliance manuals and supervisory procedures.
- Representation of broker-dealers in matters regarding their organization and registration with FINRA, MSRB and SEC, continuing compliance obligations, periodic filings, and their preparation of compliance manuals and supervisory procedures.
- Representation of investment companies, investment advisers and broker-dealers in the development of compliance and risk management programs.
- Representation of over two thousand unit investment trusts and their sponsors in matters regarding their organization, federal and state registration, primary and secondary market offerings, advertising and continuing compliance obligations. These funds have consisted of equity securities, municipal bonds, corporate bonds, U.S. Treasury securities, government agency and government-sponsored enterprise securities, sovereign debt obligations, preferred stocks, real estate investment trusts, trust preferred securities, shares of other investment companies and derivatives.
- Preparation and negotiation of a wide range of contracts, including investment management agreements, limited liability company and partnership agreements, consulting agreements, employment and confidentiality agreements, licensing and distribution agreements, and financing agreements.
- Representation of investment managers in general corporate matters including mergers and acquisitions, reorganizations, contract negotiations, corporate litigation, stockholder arrangements, real estate transactions and employment issues.
- Representation of sponsors in connection with the formation and operation of hedge funds and private equity funds, including ongoing compliance obligations.
- Preparing and negotiating applications for exemptions from federal securities laws and “no-action” requests with the staff of the SEC.
- Advising a wide range of companies on the status of transaction structures and activities under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to understand inadvertent investment company or investment adviser status.