Investment Management

From offices located in financial centers around the globe, our investment management lawyers advise funds, managers, financial services firms, and institutional investors on the full spectrum of formation, investment, transactional, regulatory, and compliance matters. We focus on how our clients develop and market their strategies, regardless of the vehicle—registered fund, exchange-traded fund (ETF), business development company, hedge fund, private equity fund, insurance-managed fund, or separately managed account—they choose to go to market.

We take an interdisciplinary approach to counseling financial services clients. Our team includes lawyers who are knowledgeable about the relevant laws affecting the industry in the United States and international jurisdictions. Many of our lawyers have worked at the US Securities and Exchange Commission (SEC), investment management firms, banks, broker-dealers, and insurance companies. Recently, Morgan Lewis was ranked first (based on number of new issues) among US law firms that counsel investment management companies.

In addition to money managers and mutual funds, our clients are:

  • Venture capital, private equity, and hedge funds
  • Banks and trust companies
  • Insurance companies
  • Public and private pension funds
  • Fiduciaries and consultants
  • Transfer agents
  • Fund administrators
  • Other businesses in the investment management industry

Our team consists of lawyers who understand the regulations governing the financial services industry. That includes US federal and state securities laws; the Employee Retirement Income Security Act (ERISA); the Internal Revenue Code; commodities regulation; US federal and state banking and insurance laws; securities laws outside the United States; and relevant laws of various international jurisdictions. Our lawyers are also well versed in the European Union’s developing Alternative Investment Fund Managers Directive (AIFMD).