Our Investment Management practice attorneys represent participants in all aspects of the dynamic investment management industry. 

loader

Overview

Our Investment Management practice attorneys represent participants in all aspects of the dynamic investment management industry. 

This broad experience, combined with senior-level attention, provides the knowledge, skill and sophistication to help our clients navigate complex regulations and manage their business operations and investments. Perkins Coie handles a wide range of issues arising under the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act and the Securities Exchange Act as well as related rules and regulations. Our clients include the following:

  • Registered open-end funds
  • Registered closed-end funds
  • Business development companies
  • Hedge funds and alternative products
  • Private equity funds and other private
    investment companies
  • Funds offered by banks and insurance companies
  • Family offices and their sponsors
  • Investment advisers
 
  • Independent directors
  • Broker-dealers
  • Transfer agents and clearing agencies
  • Exchanges and alternative trading systems
  • Fund and other industry service providers
  • Wrap accounts
  • Bank collective investment funds
  • Pension plans
  • Other sophisticated investors

 

This broad experience, combined with senior-level attention, provides the knowledge, skill and sophistication to help our clients navigate complex regulations and manage their business operations and investments. Perkins Coie handles a wide range of issues arising under the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act and the Securities Exchange Act as well as related rules and regulations. Our clients include the following:

  • Registered open-end funds
  • Registered closed-end funds
  • Business development companies
  • Hedge funds and alternative products
  • Private equity funds and other private
    investment companies
  • Funds offered by banks and insurance companies
  • Family offices and their sponsors
  • Investment advisers
 
  • Independent directors
  • Broker-dealers
  • Transfer agents and clearing agencies
  • Exchanges and alternative trading systems
  • Fund and other industry service providers
  • Wrap accounts
  • Bank collective investment funds
  • Pension plans
  • Other sophisticated investors

 

Image for Environmental, Social & Governance Counseling

Environmental, Social & Governance Counseling

Perkins Coie’s ESG Advisory Team understands that translating ESG values into actionable corporate policies, procedures, and behaviors that can be measured, monitored, quantified, and reported is challenging.

Learn More

Our investment management attorneys offer clients diverse perspectives.  Team members include former general counsels of leading investment firms as well as the former associate director of the Division of Investment Management at the Securities and Exchange Commission (SEC), a former enforcement branch chief at the SEC, and former employees of major participants in the investment management business. 

Representation on regulatory and transactional matters relating to derivatives and repurchase agreements are areas of particular depth.  Perkins Coie represents buy-side clients, such as investment funds, financial institutions, and the corporate treasurers of public corporations, in the negotiation of complex trading documentation with dealer counterparties. 

In support of the practice, we have attorneys focused on tax and ERISA, and securities enforcement lawyers with experience representing clients in federal, state and multi-jurisdictional investigations and in FINRA actions.  This provides clients with skilled counsel in regulatory and enforcement litigation and arbitrations. 

Significant areas of the Investment Management practice include:

Registered Investment Companies

Perkins Coie lawyers advise leading major fund complexes in a variety of matters such as:

  • Fund formation and registration
  • Regulatory compliance
  • Risk management
  • Corporate governance
  • Obtaining exemptive orders, no-action letters and other relief from regulatory agencies
  • Negotiating and structuring investments
  • Fund mergers and acquisitions

Our team’s experience working as government regulators, as well as our frequent interaction with regulatory bodies, leads to practical, business-oriented legal solutions for clients.

Investment Advisers

We represent investment advisers in connection with registration, compliance and ongoing operations.  Our experienced lawyers are particularly adept at working with clients to respond to SEC inquiries, compliance examinations and investigations.  We also provide counsel to advisers to both registered funds and private funds in connection with fund formation.

Perkins Coie has experience in transactions involving the purchase and sale of advisers and related negotiation of advisory contracts.  Our lawyers have written and lectured on topics associated with the Dodd-Frank Wall Street Reform and Consumer Protection Act and are particularly well-positioned to assist clients in navigating the new registration and compliance requirements imposed on investment advisers.

Perkins Coie lawyers are also able to offer highly specialized counsel on complex issues connected with data security and privacy, including appropriate risk management, board reporting and incident response.

Private Funds

Our lawyers routinely advise clients on the organization and operation of alternative investment funds, such as private equity funds, offshore funds, hedge funds and other unregistered investment products.

We counsel in all areas of fund formation and structuring as well as matters involving investment advisory agreements and other service provider agreements, investment transactions and regulatory compliance matters.  Our clients include a broad array of investors, including state pension funds and other institutional investors (including ERISA investors).  We also represent family offices, wealthy individuals and endowments in connection with their investments in hedge funds, private equity funds and other alternative investments

Family Offices

Our team has a wealth of experience in assisting individuals and families who wish to establish and administer family offices or other similar structures.  We represent numerous single-family offices and the Private Investor Coalition, a group whose members consist solely of single-family offices. 

Independent Directors

Members of the practice often represent the independent directors of major fund complexes and have written and lectured frequently on the duties of independent directors.

Experience

News

Insights