Morgan Lewis

Investment Management and Securities Industry

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

Related Events

02/19/15-02/26/15 2015 SEC Examination and Enforcement Trends for Investment Advisers Roundtable Road Show
Program running throughout the month on February 19, 24, 25, and 26 in multiple offices.
03/05/15-03/06/15 IAA Investment Adviser Compliance Conference Arlington, VA
Steven W. Stone, panelist
03/15/15-03/18/15 Compliance and Legal Society Annual Seminar 2015 Phoenix, AZ
Steven W. Stone, panelist
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Related Publications

01/16/15 SEC Extends AML Relief for Broker-Dealer CIP Reliance on Advisers
The SEC’s action suggests that formal antimoney laundering program requirements for investment advisers may be on the horizon.
01/14/15 New Best Execution Requirement for Municipal Securities Transactions
Although the MSRB’s new best execution rule is generally consistent with FINRA’s, differences exist and questions remain regarding FINRA’s examination and enforcement of the requirements.
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Related News

12/22/14 Morgan Lewis Expands in Japan with Addition of 16-Person Team from Bingham McCutchen / モルガン・ルイスは、日本でビンガム・マカッチェンから16名のチームを追加して拡大
Morgan Lewis has enhanced its practice in Japan with the addition of a 16-person team, including five partners, from Bingham McCutchen.
10/15/14 United States Securities and Exchange Commissioner Daniel M. Gallagher, Jr. to Speak at Fordham Corporate Law Center’s Annual A.A. Sommer, Jr. Lecture
Mr. Gallagher will speak on “The Securities and Exchange Commission – The Next 80 Years." The annual A.A. Sommer, Jr. Lecture, established in 2000 by Morgan Lewis, is one of Fordham Corporate Law Center's most significant and influential programs.
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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 many of the world’s most sophisticated institutional investors and fund sponsors. We advise nine of the 10 largest money managers listed by Institutional Investor, more than 500 mutual funds, 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, and other businesses in the investment management industry. We guide our clients in the formation of funds, and investments into funds, in virtually every major private funds jurisdiction around the world.

Our interdisciplinary approach to counseling clients combines the knowledge of lawyers familiar with U.S. federal and state securities laws, the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code, commodities regulation, U.S. federal and state banking and insurance laws, securities laws outside the United States, and with the relevant laws of various international jurisdictions, including the EU’s developing Alternative Investment Fund Manager Directive (AIFMD). Many of our lawyers 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).