Investment Management

Our Investment Management Group provides practical and innovative solutions to complex business, transactional, and structural issues that cross regulatory and jurisdictional lines. Our group includes former senior in-house lawyers and lawyers who formerly worked at the Securities and Exchange Commission (SEC) and have ongoing relationships with and insights into these regulators. Combined with the firm’s premier Financial Services, Tax, M&A, ERISA, FinTech and Securities Enforcement practices, the Investment Management Group provides clients with well-coordinated, full-service advice, addressing a full range of disclosure, regulatory, governance, examination, enforcement and transactional matters under to U.S. federal securities and derivatives laws.

Our clients span the breadth of the investment industry, including:

Financial Service Providers:

• Investment advisers
• Broker-dealers
• Commodity pool operators and trading advisors
• Bank-affiliated advisers
• Trust companies

Investment Vehicles:

• Open- and closed-end registered investment companies and exchange-traded funds (and their independent trustees)
• Business development companies
• Private equity funds
• Venture capital funds
• Hedge funds\Companies that sponsor innovative financial products, including FinTech, blockchain, and cryptocurrency products

Our lawyers are also highly sought after for their sophisticated approach to helping clients with so-called “status” issues under the Investment Company Act and the Investment Advisers Act and have unrivaled experience advising companies on their registration obligations. We work closely with these clients to structure their businesses or otherwise lawfully avoid such registration and regulation.  Our lawyers routinely work with the staff of the SEC and the CFTC to obtain exemptions and no-action letters, and other forms of regulatory relief for our clients.