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
Any pasta dish
“If I didn’t work for a law firm, I’d be a history teacher.”
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.CONTACT ME