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
- Division of Investment Management Issues Guidance Regarding Aggregate Advisory Fee Rates for Multi-Manager Funds - (Posted On Tuesday, April 08, 2014)
- Division of Investment Management Issues Guidance Regarding the Testimonial Rule and Social Media - (Posted On Tuesday, April 08, 2014)
- SEC (Securities and Exchange Commission) Settles Charges Against Credit Suisse for Providing Unregistered Services to U.S. Clients - (Posted On Friday, March 07, 2014)
- Complaint Filed Against BlackRock Alleges Excessive Advisory Fees - (Posted On Friday, March 07, 2014)
- Division of Investment Management Issues Guidance Regarding Unbundling of Proxy Proposals with Respect to Fund Charter Amendments - (Posted On Thursday, March 06, 2014)
- Securities and Exchange Commission (SEC) Staff Member Comments on Recent Sub-Transfer Agency Examinations - (Posted On Thursday, March 06, 2014)
- Securities and Exchange Commission (SEC) Charges Investment Adviser with Violations of the Federal Securities Laws - (Posted On Wednesday, February 12, 2014)
- Securities and Exchange Commission (SEC) Sanctions Investment Adviser and President/Chief Compliance Officer for False and Misleading Advertisements - (Posted On Wednesday, February 12, 2014)
- Securities and Exchange Commission (SEC) Increases Focus on Cyber Security - (Posted On Tuesday, February 11, 2014)
- SEC’s Office of Compliance Inspections and Examinations (OCIE) Issues Risk Alert on Investment Adviser Due Diligence Processes for Selecting Alternative Investments - (Posted On Tuesday, February 11, 2014)
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.