Shifting investment patterns, increased regulations, and emerging technologies are expected to significantly impact the investment management and broker-dealer industries in the coming years. To effectively navigate these changes, Kilpatrick Townsend’s Investment Management & Broker-Dealer Blog provides straightforward news summaries of some of the most significant and up-to-date investment management-related legal and regulatory developments to assist our investment management clients.
Our Investment Management & Broker-Dealer Team provides comprehensive advice in designing and implementing effective compliance programs, filing and registration obligations, and in representing clients at the state and federal level in proceedings before the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities administrations. We also offer “mock” SEC examinations to help clients prepare for regulatory examinations, and act as client advocates in responding to deficiency letters, regulatory investigations, and regulatory enforcement matters. We provide fund formation and ongoing representation services for registered investment companies (e.g., mutual funds and ETFs) and private funds (hedge funds, private equity, and real estate funds), and we help investment banks, family offices, pensions, and endowments make intelligent and successful investments in third-party funds and investment opportunities.
We strive to provide our clients with the expertise and guidance to help their businesses grow and succeed. As business counselors with a deep, vested interest in our clients’ success, we take the time to understand our clients’ businesses and all relevant legal and regulatory frameworks to provide the most efficient and effective counsel.
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