Registered Funds
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W. John McGuire, Roger P. Joseph, Timothy W. Levin, Lea Anne CopenheferMorgan Lewis counsels more than 60 mutual fund, exchange-traded fund (ETF), and closed-end fund complexes, comprising well over 1,000 investment portfolios, and represents the independent directors or trustees of more than 20 fund complexes. Our fund clients range from those sponsored and advised by some of the world’s largest banks, insurance companies, and broker-dealers, to funds advised by independent investment advisers. Our fund clients collectively manage more than $1 trillion. We also represent their administrators, custodians, distributors, listing markets, subadvisers, transfer agents, and other service providers.
Working across a wide range of fund products, we advise clients on their most innovative product development projects. Our lawyers work with every asset class, including listed stocks, fixed-income securities, emerging market securities, derivative instruments, and commodities. Our advice encompasses the Investment Company Act of 1940 and extends to the full range of tax, market regulation, and distribution issues faced by the industry. We have experience in the review, development, and implementation of policies and procedures designed to ensure compliance with securities and other applicable laws.
Our lawyers have gained the respect of the US Securities and Exchange Commission (SEC) staff and other regulators. We have earned ready access to senior regulatory personnel when the occasion warrants based on our experience working with regulators, who know that whatever we present to them is based on a solid legal foundation.
Responding to our clients’ needs, we offer a team of mutual fund lawyers supported and complemented by lawyers who emphasize key related practice areas, including private funds, the Employee Retirement Income Security Act, tax, commodities, employee benefits, securities enforcement, and litigation.