Asset Management

Asset Management

Advising on Structuring, Operational and Registration Issues

We counsel our clients who are investment advisers and/or broker-dealers in the structuring and day-to-day operation of their businesses and in registering, or seeking exemptions from registration, with U.S. federal and state authorities. Clients also look to us to provide customized solutions to their compliance and other needs, including conducting internal compliance audits, drafting and implementing appropriate policies and procedures, advising on margin practices and advising on conflict-of-interest issues, such as principal and affiliated transactions, personal trading and trade allocation policies, soft-dollar issues and other fiduciary issues.

Together with our mergers and acquisitions group, we are frequently involved in acquisitions and dispositions of investment management businesses and related assets.

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