Vedder Price P.C. attorneys provide a full range of services to a diverse financial services clientele. Attorneys practicing in the firm’s Investment Services Group are experienced in all aspects of investment company and investment adviser securities regulations, broker-dealer regulatory and compliance matters, derivatives and financial product matters, and ERISA and tax matters. Clients include mutual fund complexes, hedge and other private funds, money managers, broker-dealers, independent directors, and many other types of institutions such as banks, savings and loans, pension plan sponsors, group trusts, insurance companies and investment limited partnerships.
Vedder Price’s clients include hundreds of separate open- and closed-end 1940 Act registered funds,including separate accounts of major life insurance companies, along with non-registered hedge and other private funds. The size of the funds and fund groups that Vedder Price represents ranges from assets of less than $100 million to the multi-billion dollar range. The firm also represents independent directors of mutual funds and investment advisers to mutual funds (and other accounts, such as individual and institutional accounts). We also represent investment advisers, investment counsel firms and independent money managers that manage institutional and individual accounts. Vedder Price serves as counsel to various group trusts and other pooled-investment vehicles. Attorneys in the Investment Services Group have advised many financial services providers, including investment advisers, brokerage firms, banks, bank affiliates and life insurance companies, on the design, organization and distribution of new investment products.
More Legal and Business Bylines From Investment Services Group
- SEC Settles with Thirteen Investment Advisers for Negligent Reliance on False Performance Claim - (Posted On Monday, September 26, 2016)
- Federal Court Issues Opinion Following Trial in AXA Section 36(b) Excessive Fee Case - (Posted On Monday, September 26, 2016)
- Office of Compliance Inspection and Examinations Announces Share Class Initiative Focused on Conflicts of Interest - (Posted On Friday, August 19, 2016)
- SEC Proposes New Rule and Rule Amendment Requiring Business Continuity and Transition Plans for Advisers - (Posted On Friday, August 19, 2016)
- SEC Approves Adoption of Generic Listing Standards for Actively Managed ETFs - (Posted On Monday, August 15, 2016)
- ICI Issues Memo Regarding the Adequacy of Fund Policies, Procedures and Disclosures in Light of Unanticipated Events Affecting Securities Trading Venues - (Posted On Friday, July 22, 2016)
- SEC Settles Charges Against Morgan Stanley For Failing To Adopt Written Policies and Procedures Designed to Protect Customer Data - (Posted On Thursday, July 21, 2016)
- Financial Stability Board Issues Policy Recommendations to Address “Structural Vulnerabilities” in Asset Management Industry - (Posted On Thursday, July 21, 2016)
- California District Court Denies Defendant’s Motion to Dismiss in Metropolitan West Excessive Fee Case - (Posted On Thursday, July 21, 2016)
- SEC Chair Discusses Future Regulatory Initiatives and Emerging Industry Challenges at ICI 2016 General Meeting - (Posted On Thursday, July 21, 2016)
Vedder Price's Investment Services group is recognized by the National Law Review as a Go-To Thought Leader for the group’s regular contributions on and analysis of SEC amendments and regulations, enforcement actions and proposed rulemaking. Topics addressed by Vedder’s Investment Services group related to the SEC include: enforcement proceeding settlements, the modernization of fund disclosure regime, amendments to proxy rules and the review process for exemptive applications. The following Vedder Price attorney authors were the most frequent contributors: John S. Marten, Nathaniel Segal and Jacob C. Tiedt.