Thomas Westle provides counsel to registered and unregistered investment companies, independent Boards of Directors/Trustees of registered investment companies and business development companies, and investment advisers. His practice focuses on the following areas:
- registration, regulation, corporate governance, reorganizations and mergers of investment companies including open-end, closed-end, and business development companies as well as investment advisers
- representation of independent Boards of Directors / Trustees of investment companies
- creation and organization of private investment funds and hedge funds
- preparation of SEC exemptive applications and no-action letters
- financing transactions relating to closed-end investment companies including interval funds and business development companies
- representation of investment companies in SEC examinations and enforcement actions
Tom co-authors a quarterly Funds and Investment Management Regulatory Update and Recent SEC Enforcement Actions overview for the Firm’s investment company and investment adviser clients.
Outside the Firm
Tom is a member of the Board of Directors of The Singers Forum in NYC and has served as Chairman of the New York State Board of Easter Seals (2007–2008), and continues to serve as a member of the Board of the New York State Board of Easter Seals, and as a member of the Hudson Valley Operations Board of Easter Seals, and the New York City Operations Board of Easter Seals.