Morgan Lewis

Investment Management and Securities Industry

For More Information

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 20 of whom joined us after distinguished careers at the SEC.

Related Publications

05/17/13 SEC Warns About Exemptive Order Compliance
Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."
05/14/13 Virtual Asset Management Roundtable Series: Advertising and Social Media
(pdf)
05/10/13 SEC Settles Suit for Misleading Advisory Contract Approval Disclosure
Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement priorities.
View all publications

Related News

05/20/13 SEC Eyes Advisory Contract Approval Disclosures, Law360
Investment Management partners Richard F. Morris, Timothy W. Levin and asscoiate Sean Graber comment on the SEC's settlment of an enforcement action in relation to disclosure, reporting, recordkeeping and compliance violations stemming from the advisory contract approval and reporting process.
05/07/13 FINRA's Position On Pre-Inception Index Performance Data, Law360
Investment Management partner Richard F. Morris and associate John J. O'Brien comment on the Financial Industry Regulatory Authority Inc.'s interpretative letter regarding the use of pre-inception index performance (PIP) data for exchange-traded products (ETPs).
04/22/13 GCs Name Rolls Royce of Law Firms, Law360
Morgan Lewis is included in a list of 18 law firms with the strongest brands in the legal market.
View all news

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).