Eric D. Simanek
Eric D. Simanek is an associate in the Investment Management Group of our Washington, D.C. office. His practice focuses on financial services, including mutual funds, closed-end funds, exchange-traded funds and commodity pools, and their boards of directors on issues regarding regulatory compliance and product development. He assists clients in navigating laws administered by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA), and state securities laws. He also advises investment advisers on issues relating to registration and compliance policies and procedures. Mr. Simanek often advises exchange-traded funds (including exchange-traded commodity pools) in connection with their exemptive relief and launch of new funds as well as non-investment companies on issues regarding their status under the Investment Company Act of 1940.
Mr. Simanek also served as a law clerk to the Honorable William E. Smith of the United States District Court for the District of Rhode Island.
News & Publications
- Shipping ETP required novel approach, ETF Express, Quoted (April 19, 2018)
- Sullivan & Worcester Advises ETF Managers Group on Launch of First Global Dry Bulk ETF, S&W Press Release (April 11, 2018)
- Regulatory Developments Relating to Actively Managed ETFs, Review of Securities & Commodities Regulation (January 10, 2018)
- Sullivan & Worcester Launches Corporate Governance and Board Advisory Practice, S&W Press Release (November 9, 2017)
Seminars & Presentations
- Mutual Fund Directors Forum Exchange-Traded Funds: A Director's Guide
Webinar, Mutual Fund Directors Forum (April 27, 2017)