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 related to all aspects of their investment management and broker-dealer businesses. Our clients include these entities, as well as their service providers, industry associations and other related parties.

OUR SERVICES

We offer clients a full range of services, including advice and assistance with the organization, registration and ongoing operations of investment advisers, broker-dealers and investment companies, advice in regulatory and compliance matters, and representation in investigations by regulatory authorities.  

Investment Advisers
Broker-Dealers
Investment Companies

OUR LEADERSHIP

Our attorneys have wide-ranging expertise in investment management, investment products and broker-dealer matters. Many of our lawyers have experience working at the SEC or at in-house positions. We also draw on the talents of other lawyers in the firm who provide us with expertise in other closely related areas, such as ERISA, tax, insurance, structured finance, securitization, derivatives, commodities and futures; many of these lawyers have experience working at the Internal Revenue Service, Commodities Futures Trading Commission and other regulatory agencies.