EFFECTIVE RESULTS

Investment Management

LEADERSHIP: Joseph V. Del Raso

We counsel a wide range of businesses in the investment management community. Our practice involves three general areas: representation of registered investment companies and registered investment advisers, representation of alternative investment funds and investors in alternative products, and counseling regarding securities regulation, enforcement and litigation. 
 

Our lawyers are experienced in all matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. We counsel registered investment companies on the creation of new products and their marketing and distribution, corporate governance matters (including counseling fund boards of directors), obtaining exemptive, no-action and other relief from regulators, negotiating and structuring investments in financial instruments, mergers and acquisitions, and a wide array of other matters. We assist investment advisers with registration issues, structuring new services, advisory contracts and other documents, regulatory compliance procedures and other issues. 

We also advise clients on the organization and operation of alternative investment funds such as private funds, offshore funds, hedge funds, funds of funds and other unregistered investment products. We counsel on organizing new funds, investment advisory agreements and other service provider agreements, investment transactions and regulatory compliance matters. 

Compliance with securities laws and regulations is more important than ever. Pepper is experienced at counseling the investment management industry on developing effective compliance programs that can help avoid or mitigate regulatory actions. We also are experienced at representing clients in federal, state or multi-jurisdictional investigations, and in actions by the FINRA. Several of our lawyers are veterans of the Securities and Exchange Commission, including its Enforcement Division and its Investment Management Division. We also are experienced at defending clients in litigation and arbitration of securities-related claims, including investment management matters.