Calfee, Halter & Griswold LLP, Investment Funds: Regulatory & Compliance

About

Provided by Calfee, Halter & Griswold LLP

Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management lawyers provide exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance, and enforcement matters for registered and nonregistered persons.

Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Clients include:

Investment Advisers
Private Equity and Private Funds
ERISA Investment Fiduciaries
Family Offices
Broker Dealers
Dual Registrants
Cryptoasset Traders
Mutual Fund Trusts
FinTech and Robo-Advisers
Investment Bankers and Boutiques
Venture Capitalists
Insurance Companies
Investment Companies
Corporate Banks

Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds.

Chambers Review

Provided by Chambers

Investment Funds: Regulatory & Compliance - USA

Band 3

What the Team is Known For

Calfee, Halter & Griswold has a distinguished practice in the space. Its practitioners are renowned for their ability to provide counsel on the new SEC Marketing Rule, as well as SEC examinations. The team has further experience of providing counsel on CFTC and FINRA filings.

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