Corey L. Zarse

Corey provides sophisticated, strategic counsel to clients as they navigate complex regulatory requirements in their daily business operations, and in special circumstances that can present unexpected challenges. His practice centers on advising financial services firms – particularly, private investment funds, investment advisers and investment companies – on matters relating to regulatory, compliance, securities offerings and transactions, including mergers, acquisitions and joint ventures.

Corey has extensive experience guiding clients on the regulatory aspects of investment fund formation, operation and structure. He also helps advisers and fund officers with compliance and operational issues, and works closely with clients to respond to regulatory issues raised by the Securities and Exchange Commission (SEC), prepare for and respond to SEC examinations, and navigate other operational matters. Additionally, he regularly advises on matters in connection with US investment adviser registration, regulation, exemptions and operations, including fund restructurings and adviser-led secondary transactions. In addition to the Investment Advisers Act, Corey regularly advises on Investment Company Act status and structuring issues, Securities Act, Securities Exchange Act, and other regulations.