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
- Independent Directors Council Issues Guidance on Board Composition Considerations - (Posted On Wednesday, December 11, 2013)
- Mutual Fund Directors Forum Issues Update to Fund Governance Guidance - (Posted On Tuesday, December 10, 2013)
- Division of Investment Management Issues Guidance Regarding Electronic Delivery of Shareholder Notices of the Sources of Fund Distributions - (Posted On Monday, December 09, 2013)
- Division of Investment Management Issues Guidance Regarding Fund Names That Suggest Protection from Loss - (Posted On Monday, December 09, 2013)
- Investment Services Regulatory Update - November 2013 - (Posted On Friday, November 15, 2013)
- Seventh Circuit Seeks Clarification Regarding Insider Trading Prohibitions and Mutual Fund Redemptions - (Posted On Friday, October 11, 2013)
- Second Circuit Affirms Dismissal of Class Action Against ProShares Exchange-Traded Funds (ETFs) - (Posted On Thursday, October 10, 2013)
- Securities and Exchange Commission (SEC) Charges Investment Adviser for Misleading Fund Board During 15(c) Process - (Posted On Thursday, October 10, 2013)
- Securities and Exchange Commission (SEC) Sanctions Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer - (Posted On Thursday, October 10, 2013)
- District Court Dismisses Complaint Against BlackRock and iShares for Excessive Securities Lending Fees - (Posted On Thursday, October 10, 2013)
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.