Vedder Price P.C. attorneys provide a full range of services to a diverse financial services clientele. Attorneys practicing in the firm’s Investment Services Group are experienced in all aspects of investment company and investment adviser securities regulations, broker-dealer regulatory and compliance matters, derivatives and financial product matters, and ERISA and tax matters. Clients include mutual fund complexes, hedge and other private funds, money managers, broker-dealers, independent directors, and many other types of institutions such as banks, savings and loans, pension plan sponsors, group trusts, insurance companies and investment limited partnerships.
Vedder Price’s clients include hundreds of separate open- and closed-end 1940 Act registered funds,including separate accounts of major life insurance companies, along with non-registered hedge and other private funds. The size of the funds and fund groups that Vedder Price represents ranges from assets of less than $100 million to the multi-billion dollar range. The firm also represents independent directors of mutual funds and investment advisers to mutual funds (and other accounts, such as individual and institutional accounts). We also represent investment advisers, investment counsel firms and independent money managers that manage institutional and individual accounts. Vedder Price serves as counsel to various group trusts and other pooled-investment vehicles. Attorneys in the Investment Services Group have advised many financial services providers, including investment advisers, brokerage firms, banks, bank affiliates and life insurance companies, on the design, organization and distribution of new investment products.
More Legal and Business Bylines From Investment Services Group
- SEC Settles Charges Against Advisory Firms for Failing to Disclose Changes in Investment Strategy of Closed-End Fund - (Posted On Monday, November 09, 2015)
- SEC Settles First Charges Brought Under Distribution-in-Guise Initiative - (Posted On Thursday, October 15, 2015)
- SEC Settles Charges Against Investment Adviser for Failing to Adopt Adequate Cybersecurity Policies and Procedures in Advance of Data Breach - (Posted On Thursday, October 15, 2015)
- FinCEN Proposes Anti-Money Laundering Rules for Registered Investment Advisers - (Posted On Thursday, October 15, 2015)
- OCIE Identifies Focus Areas for Second Round of Cybersecurity Sweep Exams - (Posted On Thursday, October 15, 2015)
- U.S. Supreme Court Denies Defendants’ Petition for Certiorari in Schwab Case Relating to Violation of Fundamental Investment Policies - (Posted On Thursday, October 15, 2015)
- SEC Issues Final Rule for Removal of Certain References to Credit Ratings and Amends the Issuer Diversification Requirement in the Money Market Fund Rule - (Posted On Thursday, October 15, 2015)
- SEC Proposes New Liquidity Risk Management Rules for Mutual Funds and ETFs - (Posted On Thursday, October 15, 2015)
- IRS Identifies Certain Basket Derivatives as Reportable Transactions - (Posted On Friday, August 14, 2015)
- SEC Settles Charges Against Auditor, Fund Administrator and Trustee in Connection with Auditor-Trustee Relationship - (Posted On Thursday, August 13, 2015)
Vedder Price's Investment Services group is recognized by the National Law Review as a Go-To Thought Leader for the group’s regular contributions on and analysis of SEC amendments and regulations, enforcement actions and proposed rulemaking. Topics addressed by Vedder’s Investment Services group related to the SEC include: enforcement proceeding settlements, the modernization of fund disclosure regime, amendments to proxy rules and the review process for exemptive applications. The following Vedder Price attorney authors were the most frequent contributors: John S. Marten, Nathaniel Segal and Jacob C. Tiedt.