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
- Public Company Accounting Oversight Board (PCAOB) Proposes Changes to the Auditor’s Reporting Model - (Posted On Thursday, October 10, 2013)
- Securities and Exchange Commission (SEC) Proposes Additional Amendments to Form D, Regulation D and Rule 156 Under the Securities Act - (Posted On Thursday, October 10, 2013)
- Complaint Filed Against ING Investments Alleging Excessive Management Fees - (Posted On Thursday, October 10, 2013)
- Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations Issues Risk Alert on Advisers' Business Continuity and Disaster Recovery Planning - (Posted On Thursday, October 10, 2013)
- Securities and Exchange Commission (SEC) Commissioner Gallagher Discusses the Need for Proxy Advisory Service Reform - (Posted On Wednesday, October 09, 2013)
- Massachusetts Supreme Court Clarifies Annual Shareholder Meeting Requirement - (Posted On Wednesday, October 09, 2013)
- Securities and Exchange Commission (SEC) Adopts Rule Amendments to Disqualify Felons and Other “Bad Actors” from Rule 506 Private Offerings - (Posted On Wednesday, October 09, 2013)
- Securities and Exchange Commission (SEC) Adopts Rule Amendments to Implement JOBS Act Provisions for the Elimination of Prohibitions Against General Solicitation in Private Offerings - (Posted On Wednesday, October 09, 2013)
- Division of Investment Management Issues Guidance Regarding Certain Disclosure and Compliance Matters for Funds That Invest in Derivatives - (Posted On Tuesday, October 08, 2013)
- Investment Services Regulatory Update - August 2013 - (Posted On Friday, August 09, 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.