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

05/13/14-05/15/14 NRS 29th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference Orlando, FL
Jennifer L. Klass, panelist
05/13/14 Technology May-rathon: UK Investment: Tech Issues for Entrepreneurs, Start-Ups, and Investors
Amy B. Comer, Tracy Evlogidis, E.S. Kate Habershon, and Matthew Howse, speakers
05/14/14 Conference on Collective Trust Funds New York
Charles M. Horn, speaker
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Related Publications

04/10/14 Federal Banking Agencies Finalize Supplementary Leverage Ratio Standards
The next step in the adoption of new capital standards will potentially cause the largest U.S. banking organizations to face more stringent minimum capital requirements.
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Related News

04/14/14 Russia/Ukraine: Additional EU Sanctions (view PDF)
On April 14, 2014, the European Union (EU) added four additional names to the list of sanctioned persons.
04/11/14 Russia/Ukraine: Additional U.S. Sanctions (view list)
On April 11, 2014, the United States added seven additional individuals and one entity to the list of SDNs.
04/04/14 Russia/Ukraine: Status of U.S. Sanctions as of 04/04/2014
On April 4, President Barack Obama signed into law the United States’ Support for the Sovereignty, Integrity, Democracy, and Economic Stability of Ukraine Act of 2014
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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).