Investment Management Issues

Our attorneys assist with a comprehensive array of legal and compliance issues that impact registered and unregistered investment advisers, broker-dealers, commodity pool operators, commodity trading advisers, and others working in the investment management arena.

Our attorneys perform document review and revision of compliance manuals, investment advisory agreements and marketing documents; provide legal guidance with respect to questions of trading and investment practices; counsel clients in receipt of regulatory correspondence such as informal inquiries, no-action letters and Wells notices; and provide counsel and representation in the event of examinations, formal investigations and enforcement actions.

Practice Contacts