Recognized as one of the premier practices in the industry, the Investment Funds Group leverages its extensive market knowledge and deep, long-term relationships to help sophisticated clients reach their most important investment goals. We have been at the forefront of some of the industry’s most creative and innovative investment product developments, helping clients set market trends instead of reacting to them.
Funds Regulatory & Compliance
As investment funds face increasing regulatory scrutiny, maintaining compliance amid the rapidly evolving regulatory landscape is paramount. Our practice focuses on reducing future risk by keeping asset managers ahead of the enforcement curve. Our team has performed hundreds of transactional due diligence and risk assessments on behalf of investment fund clients of all strategies and asset classes. These clients also rely on us to design and assess compliance programs, and provide thoughtful structuring of their products and internal operations in order to mitigate regulatory and compliance risks. We regularly handle investment adviser registration, exemptions and ongoing compliance; SEC examinations, investigations and enforcement matters; and M&A, IPO and restructuring matters involving asset managers.
Our group includes numerous former government officials who provide intimate insight into the workings of U.S. legislative bodies. We interact frequently with all major U.S. regulatory organizations, including the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), ensuring that our clients’ businesses align with industry rules and standards. We strive to protect our clients from potential regulatory scrutiny by developing tailored compliance tools, policies and procedures.