Whats New:
May 16th, 2012
MGL Consulting has pushed out a new compliance alert, click below to learn more
Current News:
January 10, 2012
MGL Responds to Bloomberg Businessweek News Article. To read the full article click here.
Recent Events:
November 1, 2011
MGL supports NSCP 2011 Fall Conference with Sponsorship!
Held: October 16-18, 2011 in Baltimore, MD
Charles (Chuck) W. Lutter, Jr., Of Counsel to MGL Consulting LLC since September 2000. Mr. Lutter is an attorney providing legal and operational guidance to investment companies, investment advisers, broker/dealers, transfer agents and other persons involved with the issuance and secondary trading of securities. Mr. Lutter is available to consult with clients regarding registration and structuring issues involved in establishing and administering affiliated investment companies and/or hedge funds. He is available to consult with clients regarding privacy issues, fiduciary responsibilities and other issues related to administration of investment adviser firms, investment companies, broker/dealers and transfer agents.
Upon graduation from law school, Mr. Lutter joined the SEC as a staff attorney in the Atlanta Regional Office, Branch of Small Issues and Investment Company & Investment Adviser Examination (1976–1980); and continued as Branch Chief (Regulation) in the SEC’s Houston Branch Office (1980–1983). Mr. Lutter obtained extensive experience in compliance with litigation involving regulated persons such as mutual funds, investments advisers, broker/dealers and transfer agents.
From 1983 to 1987, Mr. Lutter engaged in the private practice of law with firms in Houston and San Antonio, Texas. More than 60% of his practice involved helping regulated persons structure their affairs to comply with federal and state securities laws and respond to regulators.
From 1987 to 1990, Mr. Lutter was with La Quinta Motor Inns, Inc., a publicly traded company, with classes of securities listed on the New York Stock Exchange.
From 1991 to 1995, Mr. Lutter was Vice President, Special Counsel and Secretary of U.S. Global Investors, Inc., a publicly traded company with securities traded in the NASDAQ system. That company, a registered investment adviser, manages U.S. Global Investors Funds and U.S. Global Accolade Funds, registered investment companies that issue redeemable securities of more than 14 series (or mutual funds) on a continuous basis. Mr. Lutter continues to provide advice to U.S. Global.
In 1966, Mr. Lutter graduated with a Bachelor of Science Degree from the University of Wisconsin at Madison. In 1976, Mr. Lutter received his law degree, with honors, from St. Mary’s University School of Law in San Antonio, Texas.