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Investment Management

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Our lawyers are highly sought after for their deep knowledge and experience advising clients on their most sophisticated and complex investment management-related matters.

Case Studies

Investment Advisers Marketing Rule: State of the Rule, Application, Recent Developments and Enforcement Actions

Joint Webinar with MoFo + Maples: Navigating Beneficial Ownership Reporting for U.S. and Cayman Funds

Marketing Rule Compliance: Best Practices and Use of AI

Compliance: PFAR Isn’t the Only Thing on the List

2024 NSCP Interactive Compliance Labs

MPI's Annual Survey on Investment Firm Profitability and Economies of Scale

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SEC Division of Examinations 2025 Exam Priorities – a Focus on Artificial Intelligence, Private Funds, and Cybersecurity

CFTC Finalizes Amendments to Exemptions for CPOs and CTAs under Rule 4.7

FinCEN Expands its Reach with Final Rules for Investment Advisers and the Residential Real Estate Sector

FDIC Proposes Broader Role Under the Change in Bank Control Act

Significant Investment Adviser Regulatory Developments in 2024

FinCEN & the SEC: Will the Real RIA and ERA Customers Please Stand Up?

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MoFo Advises Haus on $20 Million in Additional Financing

MoFo Advises Mesh on Strategic Investment From QuantumLight

MoFo Advises Forum Investment Group on $226 Million Private Credit Fund

MoFo Advises Witan Investment Trust in Connection with its Combination with Alliance Trust

Despite SEC's Novel Alignment on Bitcoin ETF, It’s Business as Usual in Regulatory Politics

Morrison Foerster Advises GLP Capital Partners on RMB 1.75 Billion Capital Raise for China Value-Add Strategies

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Kelley Howes is a Partner in the firm's Denver office and Co-Chair of the Investment Management Group.Kelley has experience with a wide range of legal, regulatory, compliance, corporate governance, insurance, and other matters relating primarily to the representation of U.S. registered and unregistered investment companies, offshore funds, registered investment advisers, transfer agents, and broker-dealers.Kelley has counseled independent fund directors on governance issues, and has advised mutual funds on mergers, reorganizations, compliance, and regulatory matters, including examinations and enforcement matters. She has also advised public companies with regard to corporate governance and various corporate transactional matters, including mergers and acquisitions, subsidiary ownership issues, and equity and debt issuances.She has more than 20 years’ experience in investment management-related matters. Prior to joining Morrison & Foerster, she served as Executive Vice President and General Counsel of Janus Capital Group Inc., a NYSE-listed global asset management holding company. She also previously served as Senior Vice President and General Counsel of Janus Capital Management LLC, a U.S. registered investment advisory subsidiary of Janus Capital Group, and as President of the Janus funds and President of Janus Distributors LLC.Kelley is ranked by Chambers for her expertise in Registered Funds and is also recognized by Legal 500 for Finance: Fintech. She was named “Top Lawyer" for Securities in the 2022 guide of 5280, Colorado's largest local publication.During her time at Suffolk University School of Law, Kelley was a member of the Suffolk Transnational Law Review.

Kelley Howes

Co-chair of Investment Management Group

Derek Steingarten is a partner in Morrison Foerster’s New York office and co-chair of the firm’s Investment Management Group. He also serves on the global Environmental, Social, and Governance (ESG) steering committee at Morrison Foerster.Derek has 25 years of experience advising a wide range of registered and private fund sponsors and other institutional asset managers. He counsels clients on the fund formation, capital raising, marketing, and compliance needs of hedge funds, private equity funds, private credit funds and funds-of-funds, sub-advised funds, bank collective funds, institutional separate accounts, managed account platforms, mutual funds, and ETFs. His broad experience allows him to advise clients on regulatory and transactional issues in a way that is tailored to the lifecycles of their businesses and financial product offerings. This includes managing regulatory and governance issues under the Investment Company Act, the Investment Advisers Act, and other U.S. federal securities laws, including SEC examinations, investigations, regulatory enforcement, and disputes.Asset managers regularly engage Derek as an active partner in transaction negotiations and due diligence for wealth management industry acquisitions, lift-outs, and strategic combinations and restructurings. He has extensive experience with state- and federal-chartered trust companies and their specialized role within the wealth management industry.Derek was recently recognized by Chambers USA in its 2024 nationwide ranking, with clients cited by Chambers noting that he “offers quality business-oriented counsel and unfailing responsiveness” and that he is “thoughtful and clear in his advice.” Derek graduated from McGill University (B.A. Hon.) and the University of Ottawa (LL.B.) and is a member of the New York and Massachusetts bars.

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