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 Events

09/30/14 Pensions & Investments’ Custom Target-Date Strategies Summit Chicago, IL
Julie K. Stapel, chair
10/02/14 Pensions & Investments’ Custom Target-Date Strategies Summit New York, NY
Julie K. Stapel, chair
View all events

Related Publications

07/22/14 AIFMD: Renewed Focus on Its Impact on Non-EU Managers of Private Funds
Although AIFMD took effect in key EU member states in 2013, in practice, its one-year grace period largely gave managers of alternative investment funds an opportunity to postpone compliance until 22 July 2014.
07/08/14 FCA Brings Greater Clarity and Rigour to UK’s “Soft Commission” Regime
Changes to the use of dealing commission rules, including a ban on “softing” of corporate access services, reflect the FCA’s continuing objective to ensure that investment managers control the costs that they pass on to their customers.
View all publications

Related News

07/01/14 Russia/Ukraine: Status of Sanctions as of 07/1/2014
In light of continued unrest in eastern Ukraine, U.S. and EU authorities are maintaining their sanctions programs against designated persons and entities in Russia and Crimea and have added certain names to their sanctions lists.
04/28/14 Russia/Ukraine: Additional U.S. and EU Sanctions as of 4/28/2014
On Monday, April 28, the United States added seven individuals and 17 companies to the list of SDNs as well as 13 companies to the Department of Commerce's Entity List. In addition, the European Union announced that an additional 15 individuals have been added to its list of sanctioned persons.
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 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).