Investment Products

Our investment products and services attorneys help investment advisers, broker-dealers, registered and unregistered investment companies, insurance companies and banks with legal and regulatory issues associated with all aspects of their investment management and broker-dealer businesses. We represent a cross section of the investment management industry ranging from boutique firms to some of the largest companies in the industry.

EXPERIENCE

We regularly advise broker-dealers on a variety of matters including registration, disclosure and compliance.  We help clients organize and register with the U.S. Securities and Exchange Commission, apply for self-regulatory organization membership, create compliance manuals and other required policies and procedures, and otherwise assist them with all aspects of starting up and maintaining their business. 

We provide ongoing advice to investment companies and their various service providers on a wide variety of issues including marketing, advertising and distribution.  We also assist investment companies in developing compliance systems and regulatory controls and advise funds on compliance matters such as brokerage and portfolio trading practices, affiliate transactions and pricing and liquidity of portfolio securities. 

We also address registration and disclosure obligations of advisers as well as the marketing of advisory services and performance advertising issues.  We assist our clients in preparing for regulatory examinations, responding to inquiries from regulators and obtaining regulatory relief in the form of no-action letters and exemptive orders. 

RECOGNITION

Many of our attorneys have experience working at the Securities and Exchange Commission, the National Association of Securities Dealers or at in-house positions.  We also draw on the talents of other attorneys in the firm who provide expertise in closely related areas such as ERISA, tax, insurance, structured finance, securitization, derivatives, commodities and futures; many of these attorneys have experience working at the Internal Revenue Service, Commodity Futures Trading Commission and other regulatory agencies.