Our Investment Management Practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, broker-dealers, BDCs, domestic and offshore hedge funds, ETFs, private equity funds, fund service providers and independent directors and trustees. We help clients enter the industry, develop new products and services, expand their business through strategic planning and acquisitions, keep abreast of regulatory and industry developments, and interact with regulators.
We counsel our clients on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the broker-dealer provisions of the Securities Exchange Act of 1934, the Securities Act of 1933, FINRA (Financial Industry Regulatory Authority) regulations and Commodity Futures Trading Commission rules.
We represent investment companies, hedge funds, private equity funds, investment advisory firms and broker-dealers located in cities across the nation and around the world. These clients range in size from start-up ventures to large financial institutions and funds.