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Financial Services

As the financial world adjusts to the Dodd-Frank era, with both regulators and plaintiffs growing noticeably more aggressive, financial services companies of all kinds turn to us for savvy advice and deft representation in a wide range of investment-related matters. Our Financial Services group is highly regarded for its ability to address the complex issues and fiduciary obligations that face mutual funds, fund advisers, and independent directors of funds, providing them with practical counsel that protects them from legal repercussions.

Our lawyers are highly attuned to the nuances of the rapidly-changing laws of financial services, as well as to the specialized business needs of our clients. We regularly help clients develop and structure investment products that adhere closely to regulatory requirements without impeding their viability in the marketplace.

For our mutual fund clients, we write all appropriate disclosure documentation that defines their principal strategies and risks, and we create the policies and procedures that promote regulatory compliance. For fund advisers, we help define and clarify fiduciary obligations, develop compliance procedures, and ensure adequate disclosure to shareholders. We also provide practical guidance to advisers in mergers and acquisitions. For independent directors, we help establish the governance processes that support their fiduciary role as “independent watchdogs” charged with safeguarding shareholder interests.

Our practice is highly collaborative, and we draw freely on other disciplines within the firm. While our lawyers are extremely knowledgeable about the full range of investment vehicles being marketed by our clients, we often involve the skills and resources of the Tax, Derivatives, Banking, Securitization, and Litigation groups, among others.

Our areas of focus include: 

  • Regulatory and Compliance 
  • Investment Products 
  • Investment Advisers 
  • Independent Directors 
  • Mergers and Acquisitions 
  • Broker-Dealers 
  • Domestic and Offshore Investment Vehicles 
  • Insurance Companies 
  • Commodity Pools 
  • New Media

FundsTalk: March 2014

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FundsTalk: October 2013

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Kramer Levin Launches www.PublicAlternativeFunds.com

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