Our team represents clients whose businesses span the breadth of the investment management industry. Our clients include financial service providers, such as investment advisers, broker-dealers, commodity pool operators, commodity trading advisors, banks, trust companies, administrators, and investment vehicles, including open- and closed-end registered investment companies and exchange-traded funds (ETFs) (and their independent directors), business development companies, hedge funds, private equity funds, venture capital funds, commodity pools, and companies that sponsor innovative financial products, including fintech, blockchain, and cryptocurrency products.
Our clients also include companies seeking to lawfully avoid regulation as investment companies, investment advisers, broker-dealers, commodity pool operators, commodity trading advisors, and other regulated entities. Our lawyers are highly sought after for their deep knowledge helping sophisticated clients with these so-called “status” issues and have unrivaled experience advising companies on whether they are subject to registration as a regulated entity and on how they can restructure or otherwise lawfully avoid such registration and regulation.
Our clients turn to us for practical guidance in navigating the complex legal and regulatory landscape affecting these activities and products. Drawing upon our premier financial services practice, with deep experience in bank regulation, capital markets, derivatives, payments, and fintech, our Investment Management team advises clients seeking innovative solutions to complex issues that cross business, regulatory, and geographic lines.
We advise clients on a full range of disclosure, regulatory, counseling, and transactional matters relating to the U.S. federal securities and derivatives laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940, as well as the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and other related financial services laws.
Our lawyers work closely and have excellent relationships with our clients’ regulators, including the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). Several of our lawyers formerly worked at the SEC and/or the CFTC. In addition to coordinating with the staff of those agencies on filings, our lawyers routinely work with regulators in obtaining exemptions and no-action letters, and other forms of regulatory relief for our clients.
Investment Adviser Compliance Index
Best Law Firm - Independent Counsel/Board Services
Business Development Companies
Investment Adviser Registration for Private Equity Fund Managers
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