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 Staff Issues Interpretive Letter Permitting Open-End Funds to Acquire Shares of Affiliated Closed-End Funds - (Posted On Thursday, March 16, 2017)
- SEC Staff Publishes FAQ in Response to Questions Regarding Its Mutual Fund Fee Structure Guidance and “Clean Shares” Interpretive Letter - (Posted On Thursday, March 16, 2017)
- OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters - (Posted On Thursday, March 16, 2017)
- New Jersey District Court Rules for Defense in Hartford Section 36(b) Excessive Fee Case - (Posted On Thursday, March 16, 2017)
- Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System - (Posted On Friday, February 17, 2017)
- OCIE Announces 2017 Exam Priorities - (Posted On Friday, February 17, 2017)
- SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds - (Posted On Friday, February 17, 2017)
- SEC Staff Issues Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of DOL Fiduciary Rule - (Posted On Tuesday, January 17, 2017)
- SEC Overturns Administrative Law Judge’s Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement - (Posted On Thursday, December 15, 2016)
- Washington District Court Orders Trustees to Produce Documents Redacted or Withheld Under Attorney-Client Privilege in Mutual Fund Excessive Fee Litigation - (Posted On Thursday, December 15, 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.