Registered Funds | Global

Dechert is one of the market leaders for registered fund expertise, aiding the most high-profile asset managers and expansive fund complexes, alongside small to mid-sized entities, in fund formation, transactions, regulatory compliance and litigation. Demonstrates familiarity with a diverse array of fund structures. Noted for its considerable strength in all matters related to exchange-traded funds.

Ropes & Gray boasts a hugely respected ’40 Act practice, fluent in all types of registered fund from ETFs to proprietary and master-feeder funds. Handles the full range of matters, including fund formation and operation, regulatory compliance and tax matters, and is additionally uniquely placed to advise on hedge funds and private equity funds.

The K&L Gates team is highly accomplished in the domain of ETFs, and adept in its appraisal of complex regulatory and compliance matters, due to the contingent of SEC alumni in the ranks of its investment management team. Acknowledged for its deep-seated expertise in open and closed-end fund matters. Capable of deploying well-integrated global support, and providing funds with a wealth of ancillary materials and training programs.

Morgan, Lewis & Bockius offers expertise across all aspects of the registered funds space, including ETFs, money market vehicles and mutual fund complexes. Advises in connection with ’40 Act matters and the full range of state and federal regulatory matters. Noted for its ability to handle the international aspects of investments, working with experts in the firm's offices globally.

Willkie Farr & Gallagher counsels leading registered funds, as well as their advisers and independent directors, in connection with the full range of ’40 Act matters. Covers the whole spectrum from organization and registration to offerings. Particular strength in connection with alternative investments, closed-end funds, ETFs and BDCs.

Goodwin represents a respectable roster of traditional mutual funds, sub-advised entities and funding vehicles for insurance products, with an invaluable proficiency in tackling the securities and regulatory issues facing bank-sponsored mutual fund complexes. Handles long-term governance matters in addition to large-scale restructuring. Distinguished in its ability to handle industry-specific litigation, enforcement and investigations.

Paul Hastings is notable for its registered funds prowess, especially within the niche area of unit investment trusts. Draws upon corporate and capital markets resources relevant to fund transactions such as M&A and spinouts. Serves an impressive stable of clients, ranging from investment advisers to fund administrators. Strengths include mutual funds, closed-end funds and ETFs.

Proskauer Rose is noted for its representation of registered funds and their independent board members in connection with a range of regulatory matters, including investigations and enforcement actions. Recognized strength in the BDC space. Commended for its expert knowledge of open and closed-end funds.

Sidley Austin continues to play an important role in the market, offering expertise in connection with the development and governance of a broad range of fund structures including fixed income funds, alternative investment funds and money market funds. Often acts as underwriters' counsel, drawing on the firm's recognized strength in the capital markets space. Particular strength in matters related to closed-end funds and ETFs.

Simpson Thacher is a well-known investment funds law firm that assists clients with significant ETF, BDC, and open and closed-end fund matters. Valued for its knowledge of M&A matters involving registered funds.

Davis Polk & Wardwell has a respected team which assists clients across the registered funds space, including handling regulatory concerns. Noted for its particular strength in ETFs and mutual funds. Boasts substantial experience of handling significant transactions, such as structuring transactions.

Skadden acts for a broad cross-section of parties in the registered fund arena in relation to product structuring. Provides crucial regulatory guidance concerning international stock markets and authorities. Particular strength in the BDC and closed-end fund spaces. Assists with a range of governance and transactional matters.

Sullivan & Cromwell counsels registered funds, advisers and independent directors on a wide range of concerns. Draws upon familiarity with the financial services sector to provide invaluable guidance on regulatory enforcement and compliance. Advises clients in the open and closed-end funds space, including BDCs.