Ms. Grossman assists clients with registration and regulation under the Investment Advisers Act of 1940 and the Investment Company Act of 1940. She counsels investment advisers and open and closed end investment companies on formation, governance and compliance issues. She also represents clients seeking no-action and exemptive relief from the SEC, on both routine issues as well as novel and complex issues. She acts as counsel to funds, advisers and independent directors.
In the corporate realm, Ms. Grossman analyzes investment company status issues, and helps companies manage their businesses to prevent inadvertently becoming subject to regulation under the Investment Company Act. She regularly works on mergers, acquisitions and restructuring of investment advisers and financial service companies.
Ms. Grossman was an attorney with the Division of Investment Management at the SEC, and served as assistant General Counsel at financial institutions.