Morgan Lewis

Investment Management Publications of Interest

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Fast Facts

Serve as fund and/or adviser counsel to more than 20 sponsors and advisers of investment companies with assets under management of more than $4 billion.

Serve as either fund and/or adviser counsel to 48 out of the top 50 open end ETFs.

Represent 9 of the 10 largest money managers listed by Institutional Investor.

Represent more than 200 broker-dealers, including most of the largest 100 U.S. securities firms listed by Institutional Investor.

Represent more than 750 mutual funds, venture capital, private equity, and hedge funds.

Team of more than 200 lawyers, more than 30 of whom joined us after distinguished careers at the SEC.

Related Events

05/29/12 SEC Regulation and Other Recent Changes
William Yonge and Andrew Donohue, speakers
View all events

Related Publications

05/18/12 Mapping a Smart and Efficient Investment Adviser Annual Review, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia
(PDF)
05/17/12 Outside Forces: Other Regulatory Agencies with which Broker-Dealers Should be Familiar, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia
(PDF)
05/10/12 Department of Labor Releases Guidance on New Disclosure Rules
Guidance contains clarifications of participant-level disclosures and "good faith" standard for enforcement purposes.
View all publications

Related News

04/27/12 Morgan Lewis Advises Wells Fargo on Purchase of Merlin Securities
Morgan Lewis advised Wells Fargo Securities on its acquisition of Merlin Securities, LLC.
02/13/12 Economic Situation Complicates Reform Of Money Market Funds, SEC Official Says, Securities Regulation & Law Report
Morgan Lewis partner Andrew J. "Buddy" Donohue is quoted.
02/06/12 Morgan Lewis Expands Existing Derivatives and Commodity Futures Platform with Addition of Leading Chicago-based Partner
Morgan Lewis today announces that Michael M. Philipp has joined the firm as a partner in its Financial Services, Investment Management and Securities Industry practice, resident in Chicago.
View all news
789 Publications Found
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04/13/12 Update on Amendments to the EU Prospectus Directive

LawFlash/Client Alert | Business and Finance LawFlash
Jan Klumb, Ann Baker, Rima Maîtrehenry, Torsten Schwarze, William Yonge, Rebecca Leon

Long-awaited amendments to the EU regime governing public offers of securities take effect on 1 July 2012.

03/29/12 Morgan Lewis ICI Conference Breakfast Briefing

Presentation | Speech
Michael Piracci, Andrew Donohue, P. Georgia Bullitt, Michael Philipp

On March 19, 2012 Morgan Lewis presented the ICI Conference Breakfast Briefing.  This conference highlighted what registered investment companies need to know about the CFTC implementation of Dodd-Frank and beyond. T... more

03/19/12 Investment Advisers: The Perspective of the Adviser (MB-9), presented at the SIFMA Compliance & Legal Society Annual Seminar

Presentation | Speech
Steven Stone

03/08/12 Social Media Issues, presented at the 2012 IAA Investment Adviser Compliance Conference, Arlington, Virginia

Presentation | Speech
Beth Kiesewetter

02/29/12 Form ADV for 2012, presented for the Investment Management/Financial Services Roundtable Series

Presentation | Speech
Ethan Johnson, Rebecca Leon

02/28/12 Hedge Funds in Transition: SEC Examination Priorities and Strategies for Building an Advisers Act Compliance Program (a National Regulatory Services webinar)

Presentation | Webinar
John O'Brien

Objectives: Identifying and understanding the SEC's current examination priorities relating to hedge fund managers as well as the rationale and history behind some of those concerns; Developing comprehensive compliance... more

02/16/12 Session IX: Developments in Asset Management, presented at the International Business & Finance Summit 2012 (IBFS)

Presentation | Speech
Rebecca Leon

On February 3, 2012, Morgan Lewis of counsel Rebecca Leon presented on a panel entitled "Session IX: Developments in Asset Management" at the International Business & Finance Summit (IBFS) at the Abaco Beach Resort at Boat ... more

02/10/12 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.

02/10/12 Part II: Proposal to Harmonize CFTC and SEC Requirements for Registered Investment Companies as Commodity Pools

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.

02/09/12 Current Division of Investment Management Agenda, presented for the PLI Investment Management Institute 2012

Presentation | Speech
Andrew Donohue

Topics discussed included: Dodd-Frank Act Rules Funds' use of derivatives Target Date Fund Rules Shareholder reports simplification more

02/08/12 Final DOL 408(b)(2) Disclosure Regulation

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, I. Lee Falk, Donald Myers, Craig Bitman, Daniel Kleinman

Final regulation provides a number of helpful clarifications and changes, but continues to impose what will be a highly burdensome disclosure framework.

02/08/12 SEC Concept Release Tackles Investment Company Use of Derivatives, The Review of Securities & Commodities Regulation

Outside Publication | Article
Andrew Donohue

02/03/12 2011 Asset Management Year in Review: Select SEC Enforcement Cases and Developments Regarding Investments Advisers and Investment Companies

Morgan Lewis Title | White Paper
Investment Management Practice

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") enforcement developments and cases involving investment advisers and investment companies during 2011. Summary of Key Statist... more

02/02/12 DOL Releases Final 408(b)(2) Disclosure Regulation

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Donald Myers, Daniel Kleinman

Final regulation on required disclosures by plan service providers extends deadline for disclosures to July 1, 2012.

01/31/12 2011 Year in Review: Asset Management Roundtable

Presentation | Speech
Anne Flannery, Andrew Donohue, Jennifer Klass, Steven Stone

January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2011. ... more

January 2012 Political Contributions and State Lobbyist Registration, The US Private Equity Compliance Companion (PEI)

Outside Publication | Article
Thomas Harman, John O'Brien

This article was first published as a chapter in The US Private Equity Compliance Companion by PEI. For more information, see http://www.peimedia.com. Introduction Private equity ... more

12/16/11 IRS Offers Temporary Relief to IRA Owners; Awaits DOL Guidance

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, I. Lee Falk, Carly Grey

The IRS announces that, pending further action by the DOL, indemnification arrangements described in AO 2011-09A will not be considered prohibited transactions.

12/15/11 Panelist, Spotlight on ETFs, presented at the ICI Securities Law Developments Conference, Washington, D.C.

Presentation | Speech
W. John McGuire

Morgan Lewis partner, W. John McGuire, will serve as a panelist, presenting Spotlight on ETFs at the ICI Securities Law Developments Conference, Washington, D.C. more

12/06/11 DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Steven Spencer, Craig Bitman, Donald Myers, Daniel Kleinman, I. Lee Falk, Steven Stone

On October 20, the Employee Benefits Security Administration of the U.S. Department of Labor (DOL) issued Advisory Opinion 2011-09A (AO 2011-09A), in which it concludes that relief under Prohibited Transaction Class Exemption 80... more

11/28/11 DOL Adopts Final Regulation on Exemption for Participant-Level Investment Advice

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Employee Benefits and Investment Management Practices

The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory exemption from the prohibited transaction rules of the Employee Retirement Income Security Act of 1974, as amended (ERISA), for the pro... more

11/11/11 SEC Staff Grants No-Action Relief on Compliance with ERISA Disclosure Rule

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Thomas Harman, Donald Myers, David Sirignano

The Division of Investment Management of the U.S. Securities and Exchange Commission (SEC) recently issued a no-action letter to the U.S. Department of Labor (DOL), taking the position that disclosures required by a DOL regulati... more

11/08/11 Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds

LawFlash/Client Alert | Investment Management LawFlash
John O'Brien, Monica Parry, Ethan Johnson

On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive info... more

11/08/11 Service Providers to ERISA Plans: DOL’s New Disclosure Regulations Are Imminent—Are You Ready?

LawFlash/Client Alert | Employee Benefits LawFlash
Michael Richman, Daniel Kleinman

According to Department of Labor (DOL) officials, the agency will soon publish a "final" final regulation on required disclosures by plan service providers under the statutory prohibited transaction exemption provided by Section... more

11/07/11 Speaker, FundForum USA, Boston

Presentation | Speech
Andrew Donohue

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