Joel Cavanaugh advises clients on complex securities regulatory and compliance matters.
Mr. Cavanaugh leverages extensive federal government experience to help asset managers and both registered and unregistered funds — including private equity funds, open- and closed-end mutual funds, exchange traded funds, and business development companies — navigate:
- SEC examinations, investigations, and enforcement proceedings
- Seeking and obtaining exemptive and no-action relief from the SEC
- Investment company status issues under the Investment Company Act of 1940
- Investment adviser status, registration, and reporting issues under the Investment Advisers Act
Before joining Latham & Watkins, Mr. Cavanaugh served as Senior Counsel in the Chief Counsel’s Office of the SEC’s Division of Investment Management, where he advised the Divisions of Enforcement and Examinations on issues arising under the Investment Advisers Act and the Investment Company Act. Before joining the Chief Counsel’s Office, Mr. Cavanaugh was Senior Counsel in the Division of Investment Management’s Investment Company Regulation Office and played a key role in the proposal and adoption of several significant SEC rules under the Investment Company Act.