Benjamin J. Haskin

Partner

Washington
Willkie Farr & Gallagher LLP
1875 K Street, N.W.
Washington, DC 20006-1238
T 202 303 1124
F 202 303 2124
bhaskinwillkie.com

Benjamin J. Haskin is a partner in the Asset Management Group. Benjamin advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers and broker-dealers on a wide range of investment management issues, including compliance, corporate governance and regulatory matters. He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers. He additionally advises investment managers on matters related to the purchase and sale of advisory businesses.

Highlights

Benjamin J. Haskin is a partner in the Asset Management Group. Benjamin advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers and broker-dealers on a wide range of investment management issues, including compliance, corporate governance and regulatory matters. He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers. He additionally advises investment managers on matters related to the purchase and sale of advisory businesses.

Selected Significant Matters

  • Represented BlackRock and Legg Mason in connection with launching multiple publicly-traded ETFs.
  • Represented Wasatch Advisors in connection with spin-off of private equity arm.
  • Represented Virtus in its purchase of RidgeWorth.
  • Represented Morgan Asset Management in sale of fixed income mutual fund business.
  • Represented Legg Mason Funds and Legg Mason in negotiation of service and advisory arrangements with third parties.
  • Represented broker-dealers and fund companies in connection with financing arrangements.
  • Represented public companies in connection with Investment Company Act status issues.
  • Represented multiple advisers in connection with SEC investigations. 
  • Represented business development company manager in connection with OCIE valuation review.

Selected Professional and Business Activities

Benjamin is former Chairman of the Investment Management Committee of the District of Columbia Bar and serves on the Editorial Boards of The Investment Lawyer and The Journal of Investment Compliance. Benjamin is a member of the American Bar Association’s Investment Companies and Investment Advisers sub-committee and has served on the drafting committees for ABA comment letters.

Benjamin has spoken on a wide range of investment management matters including: "Effect of Changing Regulatory Environment for Regulated Investment Companies" in Boston, "Preparing for Impending Regulatory Changes," "Exchange-Traded Funds: Current Issues and Rulemaking," "Valuation Issues in the Current Economic Environment" and "The Financial Meltdown of 2008 and the Regulatory Responses" at Princeton University’s Woodrow Wilson School of Public and International Affairs." Benjamin served as moderator of seminars entitled "After Jones v. Harris - Mutual Advisory Contracts in the Wake of the Supreme Court Decision," "Derivatives for Investment Companies," "Forum with the Director of the Division of Investment Management" and "Current Issues in Securities Enforcement for the Investment Management Industry."

Selected Publications and Lectures

  • “Don’t Call It a Comeback: The SEC’s Continued Pursuit of ‘Broken Windows,’” The Investment Lawyer, Vol. 26, No. 4 (April 2019) (co-author)
  • “Regulatory Monitor: SEC Update - Potential Unintended Consequences of the SEC’s Liquidity Risk Rule Proposal,” The Investment Lawyer, Vol. 23, No. 7 (July 2016) (co-author)
  • "SEC Holds Roundtable on Money Market Funds and Systemic Risk," Journal of Investment Compliance, Vol. 12, No. 3 (2011) (co-author)
  • "Selection and Oversight of Sub-Advisers - Obligations and Practices," The Investment Lawyer Vol. 18, No.1 (Jan. 2011) (co-author)
  • "Under the Microscope: Valuation and Hedge Funds," Journal of Investment Compliance, Vol. 10, No. 3 (2009) (co-author)
  • "Eighth Circuit Amends Standards for Review of Mutual Funds," The Metropolitan Corporate Counsel (June 2009) (co-author)
  • "SEC Continues to Address Market-Timing Related Redemption Fee Rule," The Investment Lawyer (May 2006) (co-author)
  • "Hedge Fund Managers to be Subject to SEC Registration and Scrutiny," Bloomberg Law Reports (June 2005) (co-author)
  • "Rule 38a-1: The Road Ahead," The Investment Lawyer (May 2005) (co-author)
  • "SEC Reacts to Scandals by Amending Rules for Investment Advisers’ and Investment Companies’ Codes of Ethics," The Metropolitan Corporate Counsel (September 2004)
  • "Anti-Money Laundering," IA Week Countdown to Compliance Conference (September 2004)
  • "Serving As a Mutual Fund Sub-Adviser: Issues to Consider," ICAA Newsletter (March 2002)
  • "Avoiding SEC Enforcement Action: Trade Allocation Procedures," ICAA Newsletter (July 1998)
  • "Hiring and Oversight of Sub-Advisers," The Investment Lawyer (January 1998)

Recognition, Honors & Awards

  • Recognized by Chambers USA (2019) in the area of Investment Funds: Registered Funds
  • Recognized in Best Lawyers 2019 in the area of Mutual Funds Law
  • Recognized by The Legal 500 U.S. 2018 in the area of Investment Fund Formation and Management: Mutual/Registered Funds
  • 2010 Highly Commended Award, "Under the Microscope: Valuation and Hedge Funds," Journal of Investment Compliance

Recognition, Honors & Awards

  • Recognized by Chambers USA (2019) in the area of Investment Funds: Registered Funds
  • Recognized in Best Lawyers 2019 in the area of Mutual Funds Law
  • Recognized by The Legal 500 U.S. 2018 in the area of Investment Fund Formation and Management: Mutual/Registered Funds
  • 2010 Highly Commended Award, "Under the Microscope: Valuation and Hedge Funds," Journal of Investment Compliance
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