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 Adopts New Rule Providing Optional Internet Availability of Fund Shareholder Reports and Requests Comment on Improving Fund Disclosures and Intermediary Processing Fees - (Posted On Monday, June 25, 2018)
- SEC Reaches Settlements with Three Registered Investment Advisers on Share Class Selection Allegations - (Posted On Saturday, May 26, 2018)
- SEC Division of Investment Management Director Dalia Blass Discusses Standard of Conduct Rulemaking Proposals and Liquidity Risk Management at PLI Investment Management Institute - (Posted On Friday, May 25, 2018)
- OCIE Issues Risk Alert on Advisory Fees and Expense Compliance Issues Identified in Deficiency Letters - (Posted On Thursday, May 24, 2018)
- SEC Staff Issues Share Class Selection Disclosure Initiative FAQs - (Posted On Thursday, May 24, 2018)
- SEC Issues Interpretive Guidance Regarding the Standard of Conduct for Investment Advisers - (Posted On Wednesday, May 23, 2018)
- SEC Proposes New Disclosure Requirements for Financial Professionals - (Posted On Wednesday, May 23, 2018)
- SEC Proposes New Rule That Would Require Broker-Dealers to Act in Best Interest of Retail Customers - (Posted On Tuesday, May 22, 2018)
- SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships - (Posted On Tuesday, May 22, 2018)
- Investment Services Regulatory Update - April 2018 - (Posted On Thursday, April 12, 2018)
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.