Mark Karpe
About Mark Karpe
Investment management attorney admitted in California, New York, Massachusetts. 20+ years of legal and compliance experience with the Investment Company Act of 1940 and the Investment Adviser Act of 1940, including: Form N-1A, Form N-CSR, Form N-CEN, SEC regulatory filings, mutual fund structures, fund mergers and acquisitions, corporate governance, securities arbitration, class action litigations, opt-out litigation, foreign group actions, portfolio compliance, non-disclosure agreements, iXBRL, Rule 30e-3, 15c materials, 12d1-4 unaffiliated funds-of-funds, N-PORT, fund proxies, information statements, EU tax reclaims, tailored shareholder reports. FINRA arbitrator (industry/non-public). Bar Association arbitrator. General Counsel and Corporate Secretary of non-profit foundation. Former judge pro tempore.