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