Financial Services

Montgomery McCracken’s Financial Services Industry Group counsels a variety of financial services clients nationwide, including investment advisers, broker-dealers, family offices, registered open-end investment companies (mutual funds), closed-end funds, hedge funds and other privately offered investment pools (such as private equity funds and real estate funds). Similarly, we counsel a variety of investors including the investment committees of pension funds and tax-exempt organizations.

Having industry experience as fund administrators, in-house counsel and compliance counsel, our attorneys know how to work effectively with investment company personnel, investment advisers, family offices, and hedge funds to ensure that day-to-day business needs are balanced with applicable regulatory requirements. Our team members have also counseled clients on strategic business planning, new product development, regulatory examinations and other complex compliance and regulatory matters.

Capabilities include:

  • Formation, registration and launch of registered investment companies, registered funds of hedge funds, and private investment pools (domestic and offshore) such as hedge funds and private equity funds;
  • Organizing and registering broker-dealers;
  • Organizing and representing registered investment advisers, including the development of wrap-fee programs, unified managed account programs, wealth management programs, sub-advisory relationships, 401(k) alliances and regulatory compliance programs;
  • Independent legal representation for investment company directors and trustees;
  • Initial public offerings and rights offerings of open-end and closed-end mutual funds;
  • Representations before the SEC and FINRA, including compliance examinations and investigations;
  • Developing fund policies and procedures;
  • Preparation of service agreements, including investment advisory, distribution, administration and transfer agency agreements;
  • Representations before state regulatory authorities; and
  • Ongoing compliance and, if necessary, litigation support.

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