Investment Management Compliance

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We regularly advise leading clients about all aspects of their legal and regulatory compliance.

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“Sources praise the attorneys for their ability to handle the full spectrum of matters affecting mutual funds, from advising on formation and regulation to representing independent trustees and directors.” Chambers USA
“They are exceptional across the board and I never feel like we get anything less than the best when we go to them.” Client quoted in Chambers USA
“They have a very good common-sense approach to applying the law in the context of a business relationship.” Client quoted in Chambers USA

With one of the largest and most diversified investment management practices of any law firm, we regularly assist investment advisers, funds, and fund directors  in complying with a range of statutory requirements, including:

  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Commodity Exchange Act
  • Employee Retirement Income Security Act of 1974 (ERISA)
  • Gramm-Leach-Bliley Act
  • Bank Secrecy Act
  • Foreign Corrupt Practices Act
We have extensive experience helping our clients develop and implement compliance policies and procedures, and in dealing with ongoing regulatory and compliance matters.