Investment Funds: Regulatory & Compliance
USA Guide 2024 : USA - Nationwide
Band 2
Contact number
+1 215 994 4000About
Provided by Dechert LLP
Dechert’s global financial services group is a leading legal advisor to asset managers, investment funds and fund directors. Group members, working out of 16 Dechert offices in the United States, Europe, Asia and the Middle East, represent clients ranging from start-up boutique operations to some of the largest financial institutions and fund groups in the world.
Unlike many competitor firms, our practice is built around the needs of asset managers rather than banks or other financial institutions. Our lawyers advise on:
- Regulatory and compliance matters related to the formation and ongoing management of all asset classes including open- and closed-end funds, exchange-traded funds, offshore funds, UCITS and hedge funds.
- Compliance under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), Volcker Rule and Federal Reserve Board’s (FRB) Merchant Banking Rules.
- Europe’s new Markets in Financial Instruments Directive (MiFID II) legislation.
- Alternative Investment Fund Managers Directive (AIFMD).
- U.S. financial laws and regulations, including the Investment Advisers Act of 1940 and Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, Commodity Futures Modernization Act of 2000, U.S. Bank Secrecy Act (BSA), Sarbanes-Oxley Act of 2002, Gramm-Leach-Bliley Act, USA PATRIOT Act, and Employee Retirement Income Security Act (ERISA).
Chambers Review
Dechert is a respected asset management firm with a strong team advising on issues relating to the Investment Advisers Act of 1940 and Investment Company Act of 1940. Additional expertise in the Commodity Exchange Act and SEC regulatory matters.
Work Highlights
- Dechert advised MainStay Funds on potential and actual inspections and examinations, litigation and enforcement matters.
Strengths
Provided by Chambers
"Dechert has a strong bench."
"The firm provides very strong service levels and the team's expertise is delivered efficiently."
"Dechert has a strong and deep bench of global experts with a wide range of expertise."
"Dechert has a strong bench."
"The firm provides very strong service levels and the team's expertise is delivered efficiently."
"Dechert has a strong and deep bench of global experts with a wide range of expertise."
Notable Practitioners
Mark Perlow regularly advises a range of investment managers and private funds on the full scope of SEC regulations.
"He is an expert in his field."
Thomas Bogle has considerable experience of advising hedge and mutual funds, as well as independent trustees, on SEC compliance.
"He is very commercial and super-responsive."
Michael McGrath is routinely called upon by asset managers to provide high-quality counsel on regulatory matters arising from formations and operational issues. His practice involves advising on complex deals containing cross-border elements.
"Mike is knowledgeable, professional and experienced."
"He has a deep and sophisticated understanding of complex issues."
Philip Hinkle's practice concerns the commodities and derivatives regulations affecting investment funds. He has experience of providing counsel on a range of funds, including private and mutual funds.
"Philip is a sophisticated and timely lawyer."
"He's incredibly knowledgeable."
Ranked Lawyers at
Dechert LLP
USA - Nationwide