Banking & Financial Services

Investment Management and Investment Adviser Regulation

Investment management and investment adviser regulation

Our investment management team advises investment and asset manager clients on US-law issues relating to the full life cycle of the funds and asset vehicles they manage - from their initial launch, to ongoing compliance matters, to trading and investments. We provide structuring advice, draft and review fund offering documents, negotiate side letters with investors and trading and service agreements with prime brokers, fund administrators, account custodians, ISDA dealers, and advise on portfolio investments of all asset classes.

We also advise our investment and asset manager clients on regulatory matters, such as registration or filing with the SEC as investment adviser or exempt reporting adviser, ongoing compliance issues under the Investment Advisers Act of 1940, and other regulatory compliance issues related to securities or commodities trading, and the Volcker Rule. 

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