Counsel
Philadelphia, PA
Gino Malaspina has spent over three decades in the investment management industry, including the last fifteen as an attorney. His practice relates to counseling investment adviser clients and fund boards in matters concerning the Investment Company Act of 1940, and other federal securities laws. This includes preparing fund registration statements and other fund regulatory filings with the U.S. Securities and Exchange Commission and preparing memoranda and other materials for fund board meetings with respect to compliance with the federal securities laws.
In his most recent role prior to joining Practus, Gino served as Senior Counsel with State Street Corporation, supporting an affiliated investment adviser’s mutual fund and ETF family.
Having served as Chief Compliance Officer to investment companies and investment advisers, Gino provides advice and support with respect to compliance functions for funds and advisers under the federal securities laws, including preparing fund and adviser compliance policies and procedures, and compliance reports for fund Boards and management. Gino also updates management about new federal securities laws and related rules and how they affect their business.
When Gino is not working, you’ll likely find him enjoying some time at the beach or at a local symphony orchestra concert, or maybe a baseball game!
“John Adams”
by David McCullough
Moonlight Sonata, Beethoven
Anywhere near the ocean.
Any of my Mom’s Italian dishes…..
If I weren’t a lawyer, I’d be an usher at the ballpark.
Gino Malaspina has spent over three decades in the investment management industry, including the last fifteen as an attorney. His practice relates to counseling investment adviser clients and fund boards in matters concerning the Investment Company Act of 1940, and other federal securities laws. This includes preparing fund registration statements and other fund regulatory filings with the U.S. Securities and Exchange Commission and preparing memoranda and other materials for fund board meetings with respect to compliance with the federal securities laws.
In his most recent role prior to joining Practus, Gino served as Senior Counsel with State Street Corporation, supporting an affiliated investment adviser’s mutual fund and ETF family.
Having served as Chief Compliance Officer to investment companies and investment advisers, Gino provides advice and support with respect to compliance functions for funds and advisers under the federal securities laws, including preparing fund and adviser compliance policies and procedures, and compliance reports for fund Boards and management. Gino also updates management about new federal securities laws and related rules and how they affect their business.
When Gino is not working, you’ll likely find him enjoying some time at the beach or at a local symphony orchestra concert, or maybe a baseball game!
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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