Understanding your business is essential to providing the top legal advice for investment management. Federal and state laws and regulations are growing more complex every year, and businesses need counsel with deep industry experience to provide guidance that minimizes risk and recognizes opportunity.
Husch Blackwell provides practical, efficient and economical counsel in all aspects of the investment management business. We focus on issues specific to investment management and have broad industry experience. Our clients include open-end and closed-end investment companies and their service providers, independent directors, investment advisers, hedge funds, private equity and real estate funds, broker-dealers, banks, and third-party administrators.
Regulatory and Compliance
Attorneys on our Investment Management team can advise you on daily operations like regulatory findings and compliance-related issues, as well as complex matters facing your business including:
We provide solutions to challenges of fund organization, fundraising and operations. Structuring your management guidelines and partnership commitments is a big part of what we do. Our team advises on angel investment funds, small business investment company (SBIC) venture funds, mezzanine funds and leveraged buyout and management buyout funds, and supports SBIC programs. Our clients include closed-end investment companies, investment advisers, investment companies, broker-dealers, mutual fund companies, independent directors, and business development companies.
Our experience includes fund formation and SEC registration; fund acquisitions and product consolidations; regulatory investigations and enforcement proceedings; and design of compliance programs. We structure entities and transactions to avoid regulation and registration under the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and analogous state laws.
Many industry participants are recognizing firsthand what federal, state and SRO regulators have been predicting for several years: enforcement actions have become more common and regulators often lack flexibility. No matter the size of your firm, enforcement actions can have a significant and long-lasting impact on your reputation and bottom line. Our Government Compliance team which includes former U.S. Department of Justice (DOJ) officials, including a former United States Attorney and a former Special Agent with the FBI, has experience responding to internal and external whistleblowers, litigious and/or disgruntled investors, government investigations, and allegations of fraud.