Morgan Lewis

Investment Management

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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

03/21/10-03/24/10 2010 SEI Executive Conference Phoenix, AZ
Tim Levin, panelist, "Regulatory Update: Traditional Update"
04/19/10 National Organization of Investment Professionals' Spring Conference 2010 Washington, D.C.
Steven Stone, moderator
04/19/10-04/22/10 25th Annual NRS Spring Compliance Conference Fort Lauderdale, FL
W. John McGuire, speaker, "Creating a Manageable and Defensible Recordkeeping System"
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Related Publications

03/10/10 Prospectus Liability, presented at a Independent Directors Council Webinar
02/04/10 The Latest on the Regulatory Landscape and What it Means for You, presented at the TD Ameritrade Institutional 2010 National Conference, Orlando, FL
01/27/10 SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18)
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Related News

02/22/10 Industry Bashes FINRA Foreign Finder Pitch, Compliance Reporter, Vol. 17, No. 7
Ethan Johnson discusses the current lack of precedent and guidance regarding the new FINRA proposal to eliminate rules on paying foreign finders.
01/26/10 Morgan Lewis Advises Better Place on $350 Million Financing
Better Place this week announced that it has signed an agreement with an HSBC-led investor consortium for new equity financing of $350 million.
05/28/09 Compliance Officers Need To Be Wary, Experts Say, Financial Advisor
Monica Parry is quoted, noting that compliance officers need to stay alert for new risks to the adviser's business arising out of the current market environment.
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We provide a full range of legal services to clients in the financial services industry in the United States and abroad. Our investment management clients include nine of the ten largest money managers listed by Institutional Investor, over 500 mutual funds, venture capital, private equity, and hedge funds, the largest business development company in the U.S., banks and trust companies, insurance companies, public and private pension funds, fiduciaries and consultants, transfer agents, fund administrators, and other businesses in the investment management industry.

Our interdisciplinary approach to counseling clients combines the knowledge of lawyers familiar with the federal and state securities laws, the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code, commodities regulation, federal and state banking and insurance laws, and foreign securities laws. Many of our attorneys have worked at the U.S. Securities and Exchange Commission (SEC), investment management firms, banks, broker-dealers, and insurance companies. Morgan Lewis is a leader in investment management law, and was recently ranked first among U.S. law firms as investment management counsel (based on number of new issues).