Jim Audette is a partner in Chapman and Cutler’s Corporate and Securities Department and a member of its Private Funds Group and Investment Management Group. He participated in the firm’s summer associate program in 2011 and joined the firm in 2012.

Jim’s practice consists of a variety of corporate and securities transactions. Jim has significant experience representing registered investment companies and their sponsors. He has assisted in the creation, registration and ongoing compliance obligations of a variety of registered investment companies, including mutual funds, ETFs, closed-end funds, interval funds, commodity funds, and unit investment trusts. Jim has represented registered investment advisers and broker-dealers regarding filings and interactions with securities regulators, including registration statements, periodic reporting and no-action and exemptive relief requests with the SEC, CFTC and FINRA. Jim has also represented clients with respect to novel investment products, such as cryptocurrency funds and defined outcome funds.

In addition to his registered investment company practice, Jim also represents institutional investors of private investment funds, including private equity funds, hedge funds and real estate funds. Jim regularly negotiates and structures private fund investments on behalf of public pension plans, financial institutions and family offices. He also represents sponsors of private investment funds, often in niche areas such as social impact investing, and has guided them through the formation and offering process.

Jim’s capital markets and corporate governance experience includes acting as issuer’s and underwriters’ counsel in investment grade debt offerings and exchange offers for several Fortune 500 companies, including large public utilities and railroads. He has also assisted in the preparation of proxy materials for reporting companies’ annual meetings and has successfully contested the inclusion of activist shareholder proposals in those materials with the SEC.

Jim’s mergers and acquisition experience includes acting as buyer’s counsel in acquisitions of and asset purchases from banks, bank holding companies and investment advisers, including the negotiation of definitive agreements and the drafting and filing of the registration statement/proxy materials with the SEC.

Publications

Education

University of Notre Dame Law School, J.D., cum laude, 2012

  • Notes Editor, Journal of College and University Law

Loyola University, Chicago, B.B.A., Economics, cum laude, 2009

Admitted

Illinois

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