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At the core of the investment management industry are investment advisers, who manage mutual funds, pension plans, insurance company separate accounts, institutional separate accounts, and high-net-worth and other private accounts. We represent hundreds of investment advisers, foreign and domestic, of all sizes and types, before the SEC and state regulators. For these clients, we regularly:
- Prepare or review registration statements on Form ADV, advisory contracts, codes of ethics, and other compliance procedures.
- Counsel on regulatory issues, including personal securities trading, use of derivative and synthetic instruments, trade allocation practices, "soft dollars," performance advertising, and ERISA.
- Advise clients on the applicability of U.S. federal and state securities laws to foreign investment advisers, and the applicability of foreign laws to U.S. investment advisers.