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 securities transaction businesses. Our clients include these entities, as well as their service providers, market centers, transfer agents, industry associations and other related parties.
Experience
We offer clients a full range of services, including advice and assistance with the organization, registration and ongoing operations of investment advisers, broker-dealers, transfer agents and investment companies, advice in regulatory and compliance matters, and representation in investigations by regulatory authorities.
Registered Investment Companies
Investment Advisers
Broker-Dealers
Investment Products
Highlights
Investment Products