Practices | Financial Services and Securities Law

Investment Management Industry

Our financial services and securities lawyers regularly provide advice to industry participants on all sides of regulatory and transactional matters.  Clients rely on us to advise them on compliance with regulatory and legislative developments, design compliance programs, seek exemptive and no-action relief, and navigate regulatory examinations and investigations.  Clients also look to us to negotiate transactions, develop and launch new products, and to manage the day-to-day challenges of operating in a highly regulated, and sometimes volatile market.

The firm offers counseling in transactional, regulatory, and compliance matters involving investment management industry participants including:

  • investment advisers
  • banks
  • mutual funds
  • hedge funds
  • exchange traded funds (ETFs)
  • private equity funds
  • independent fund directors (including audit committees, compliance committees, and QLCC)
  • fund management, CCOs, and SOX certifying officers
  • Institutional investors

Fund Industry Service Providers
Attorneys at the firm have specialized knowledge of the legal and compliance issues confronting fund industry service providers, including:

  • fund administrators
  • fund accountants
  • transfer agents
  • custodians
  • securities lending agents
  • distributors
  • compliance professionals
  • independent auditors
  • technology vendors

Our investment lawyers have represented fund industry service providers in transactional matters, including complex global and domestic outsourcing deals, as well as mergers, acquisitions, divestitures and business line spin-outs.

Attorneys at the firm have experience counseling fund service providers on the unique regulatory and compliance issues presented by their business models, including in the context of regulatory examinations, investigations, and enforcement proceedings.