The firm represents investment advisers and other investment managers with respect to all aspects of their businesses, including:
- Registration with the Securities and Exchange Commission or state regulatory authorities;
- Ongoing compliance; and
- Operational issues.
Our attorneys advise in the drafting and negotiation of investment management agreements, subadvisory agreements, solicitation agreements, various required policies and procedures, market data agreements, electronic trading system agreements and other types of agreements relevant to the business of its clients. We also advise investment managers in connection with responses to inspections by regulators and disciplinary and enforcement proceedings.
The firm represents a large number of broker-dealers, as well as their executives, management, and brokers in investigations conducted by the SEC or self-regulatory organizations, including the NYSE and NASD. Its experience includes investigations of insider trading, arbitration hearings and court actions, representation of clients in connection with the start-up and registration of broker-dealers, and the purchase and sale of broker-dealers.
The practice includes the formation and registration of investment companies under the Investment Company Act of 1940, and counseling these investment companies in relation to ongoing compliance with applicable laws and regulations.