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Investment Management Regulation

Managing regulatory issues and responding to rapidly evolving legal environments in the world’s major financial markets is critical to our clients’ success.

Accordingly, we advise our clients on the full spectrum of regulatory issues, including:

  • United States—Securities Act, the Investment Company Act, the Investment Advisers Act and the Commodities Exchange Act, among other regulatory regimes;
  • United Kingdom—Financial Services and Markets Act 2000;
  • Germany—Investment Act and Investment Tax Act; and
  • Europe—Markets in Financial Instruments Directive, Markets Abuse Directive, Transparency Directive and Capital Requirements Directive.

We are able to advise clients on the process of becoming regulated or registered and documenting supporting documentation, and regulatory compliance procedures.

We conduct comprehensive reviews of investment management and advisory firms, reviewing all aspects of a client’s business. These reviews are tailored to the specific needs of each client, in order to help them improve their procedures in the areas of insider trading, personal investments, inter-fund transfer and allocation practices, ethical wall procedures, and books and records requirements. Our compliance work also takes the form of due diligence reviews of investment management and advisory firms that are candidates for acquisition and reviews of compliance procedures.

We work actively with various regulators around the world to reduce unnecessary regulation and generally streamline the regulatory process. We routinely submit comments on SEC, FCA and EU consultation and rule-making processes to promote simpler regulation of investment funds and their advisers.


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