Investment Management

Investment Management

WilmerHale’s investment management group provides sophisticated legal and regulatory advice to investment advisers, private fund sponsors, registered funds, and their independent trustees.

Key Contacts

Meet Our Team

Areas of Focus

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Experience

  • MiFID RESEARCH RULES

    Assisting a large broker-dealer in registering and operating its sell- side research business under the Advisers Act so that it could receive hard dollars for its products (as a result of MiFID).
  • ACQUISITIONS OF INVESTMENT MANAGEMENT FIRMS

    Serving as transactional counsel and/or regulatory counsel to financial services companies in acquisitions of investment management firms with purchase prices ranging from tens of millions to billions of dollars.
  • NO-ACTION RELIEF RELATING TO MiFID “UNBUNDLING” REQUIREMENTS

    Representing a global association of regulated funds in securing no-action relief relating to the ability of mutual funds to engage in aggregated trades following the unbundling of commissions (research and execution payments) required by MiFID (an expansion of joint transaction relief provided years ago).
  • LAUNCH OF LEADING CLO ISSUER

    Serving as counsel on structuring and launch of a new fixed income investment management firm that became the largest CLO issuer in 2017.
  • RESTRUCTURING OF FUND MANAGEMENT COMPANY

    Serving as counsel to a Latin American fund management company in connection with its restructuring to a trade finance business.
  • OCIE INVESTIGATION

    Representing a large-broker dealer navigating an Office of Compliance Inspections and Examinations exam and ultimately settling with the SEC on favorable terms an enforcement action relating to the receipt of 12b-1 fees in a wrap program.
  • DISTRIBUTION-IN-GUISE INVESTIGATION

    Representing a prominent asset management firm in a distribution-in-guise investigation which, after two years of investigating, the SEC staff agreed to drop without pursuing enforcement action.

Recognition

  • National Tier I Firm for Mutual Funds Law, U.S. News - Best Lawyers® “Best Law Firms” List 2017
 

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