Fund & Investment Product Formation Fund & Investment Product Formation
Practices & Industries Served

Fund & Investment Product Formation

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With years of experience creating funds and investment products and a deep understanding of investing strategies, our fund and investment product formation team can help you expand your product offerings in a creative, cost-effective way.

Fund & Investment Product Formation Detail

In recent years, there’s been a lot more competition in the mutual fund and hedge fund space, as well as the growth in the markets for exchange-traded funds (ETFs), collective trust funds (CTFs), and non-depository trust companies (NDTCs), which makes it hard for many industry members to distinguish themselves and what they offer. However, we can help.

Our team has deep experience with every aspect of the fund and investment product-formation industry.

We provide counsel to asset managers of all sizes and serve as fund counselor and/or independent trustee counsel to mutual fund and ETF fund complexes. But we’re particularly experienced in all aspects of starting and operating an actively-managed ETF, including SEC exemptive relief, navigating NYSE requirements, negotiating with services providers, fund registration, ETF compliance program design and oversight, and corporate governance issues unique to ETFs.

Additionally, we routinely serve as issuer and board counsel for the start-up and management of mutual funds, hedge funds, exchange-traded funds and also handle their other legal and regulatory work.

We’re one of the few firms that actually helps conceptualize and bring products to market.

Our knowledge of funds and investment products, experience and insight into the regulatory world, and broader financial services acumen enable us to play a unique role in a fund manager’s kitchen cabinet of advisors: We can help engineer new funds or strategies for both maximum commercial viability and compliance.

Helping clients think through and create novel and exciting products and interesting investment strategies is is hard to find in a legal partner, but it’s one of the things we do best. For example, we were the third firm in the United States to successfully bring an actively managed ETF to market. In addition to handling all the regulatory and legal work, we helped the client think through, create, and sell the product.

But most importantly, we work on your terms.

We take pride in meeting all your asset management and securities needs—and doing so in the way that’s best for you and your company.

Our practice includes:

  • ETFs
  • Hedge funds
  • Mutual funds
  • Closed-end funds
  • Collective trust funds
  • Bank-sponsored funds
  • Private equity funds