Partner
Denver, CO
With over 20 years of investment management experience, Randy Legg has expertise on a broad range of legal, regulatory and compliance matters in the investment management industry, including working closely with fund boards, advisers, transfer agents, distributors, fund administrators and auditors. His experience includes advising on legal and regulatory matters and providing fund governance support to investment companies and advisers, and representing investment company clients in matters concerning the Investment Company Act of 1940 and other federal securities laws.
He has handled a wide range of regulatory matters, including responses to numerous regulatory inquiries, compliance programs, fund governance, organization of new funds, regulatory exams, fund reorganizations, fund and adviser compliance policies and procedures, regulatory filings under the 1940 Act, and all aspects fund board matters. Randy is also well versed in numerous regulatory and portfolio trading matters such as valuation, the use of derivatives and fixed income instruments, and other trade-related issues including cross-trades, trade allocations, trade errors, and affiliated transactions.
When Randy is not working, you’ll find him enjoying hiking, skiing, tennis, and learning to play pickleball.
Keep your feet on the ground and keep reaching for the stars.
Grant by Ron Chernow
Talladega Nights: The Ballad of Ricky Bobby
Montana
Any pasta dish
“If I didn’t work for a law firm, I’d be a history teacher.”
With over 20 years of investment management experience, Randy Legg has expertise on a broad range of legal, regulatory and compliance matters in the investment management industry, including working closely with fund boards, advisers, transfer agents, distributors, fund administrators and auditors. His experience includes advising on legal and regulatory matters and providing fund governance support to investment companies and advisers, and representing investment company clients in matters concerning the Investment Company Act of 1940 and other federal securities laws.
He has handled a wide range of regulatory matters, including responses to numerous regulatory inquiries, compliance programs, fund governance, organization of new funds, regulatory exams, fund reorganizations, fund and adviser compliance policies and procedures, regulatory filings under the 1940 Act, and all aspects fund board matters. Randy is also well versed in numerous regulatory and portfolio trading matters such as valuation, the use of derivatives and fixed income instruments, and other trade-related issues including cross-trades, trade allocations, trade errors, and affiliated transactions.
When Randy is not working, you’ll find him enjoying hiking, skiing, tennis, and learning to play pickleball.
Prior to joining Practus, Randy served as the General Counsel for Spruceview Capital Partners, LLC in Denver, CO. There he managed all legal and business-related legal matters, advised the executive team on business strategy, and managed and oversaw U.S. and Canadian regulatory matters, Spruceview’s private funds, adviser registrations (e.g., Forms ADV and PF), and other regulatory filings and examinations.
Prior to Spruceview, Randy served as Senior Vice President and Managing Counsel for Oppenheimer Funds, Inc, (OFI) where he worked for more than 15 years. There he managed and oversaw all fund governance matters and all aspects of OFI’s interactions with the Oppenheimer Funds’ independent trustees and the boards’ independent counsels, including advising and strategizing with OFI senior executives on key initiatives, attending all board meetings and advocating and negotiating OFI’s views and positions. Randy also led and managed OFI’s team of portfolio investment lawyers and served as primary internal counsel for OFI’s compliance, fund treasury, valuation, and municipal bond portfolio teams.
Randy began his career in Washington, D.C. and spent seven years as an Associate at Dechert LLP in its Financial Services Group.
Randy’s areas of expertise include: Investment Management, Investment Companies, Investment Advisers, valuation matters, liquidity, liquidity risk management, CCO and Compliance Programs, SEC examinations and investigations.
Among other matters, Randy was responsible for investment adviser regulatory matters for a large firm, including implementation of new regulatory requirements (such as the CCO/compliance program rules and liquidity risk management rules) and various aspects related to fund formations, mergers and liquidations.
Additionally, Randy has managed and advised on several large corporate acquisitions and integration of third party advisory firms and the accompanying underlying funds, an internal corporate reorganization of all adviser corporate entities, the merger and/or consolidation of multiple fund boards and the conversion (or lift-out) of internal back office fund accounting, valuation, and tax groups to a third party vendor.
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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