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Investment Management Compliance

Overview

In the highly regulated financial markets, we help you assess and mitigate compliance and regulatory risks through ongoing risk management assessments and regular counsel on internal protocols for meeting fiduciary, disclosure and other regulatory obligations. We advise investment companies, their boards and advisers, as well as broker-dealers, commodity pool operators and trading advisors, and distributors on establishing and assessing compliance policies and procedures. We conduct risk management assessments for regional and national firms, including those with foreign operations, to evaluate and address conflicts of interest, breaches of fiduciary duty and securities law violations. Our attorneys help draft and implement policies and procedures across the range of compliance risks.

Insights & Events

Latest

Press Release October 2025

Former Aberdeen Inc. Chief Risk Officer Joseph Andolina Returns to Faegre Drinker as Partner in Philadelphia

2 min read
Speaking Engagement Recap October 01, 2025

IAs Using AI

IAA 2025 Compliance Workshops
1 min read
Media Mentions September 2025

Brad Campbell Discusses 401(k) Litigation With Wall Street Journal

1 min read
Media Mentions August 2025

Brad Campbell and Fred Reish Discuss ‘Trump Baby Accounts’ With Insurance News Net

1 min read
Recorded Webinar August 14, 2025

Inside the Beltway - Webinar

28 min read
Updates August 2025

Presidential Order Instructs Regulators to Help Facilitate 401(k) Access to Alternative Asset Investments, Including Private Equity and Private Credit

Builds on Existing Regulatory Momentum; Collective Trusts and Closed-End Funds Expected to Play Key Roles in Facilitating Access for Plan Investors
16 min read
Updates August 2025

Thinking ESOPs: The Truth About ‘Conflicts’ Under ERISA

Anderson, et al. v. Intel Corp. Investment Policy Committee, et al., No. 22-16268 (9th Cir. May 22, 2025)
3 min read
Media Mentions August 2025

Fred Reish Speaks on New EO Affecting Private Securities and Digital Assets in ASPPA

1 min read
Speaking Engagement Recap May 28, 2025

2025: the Year of Private Credit Investment Opportunities and Potential Pitfalls

Institutional Limited Partners Association Webcast
1 min read
News February 2025

Faegre Drinker Practices and Attorneys Ranked Among Leaders in Chambers Global Guide 2025

2 min read
Insights
Media Mentions September 2025

Brad Campbell Discusses 401(k) Litigation With Wall Street Journal

1 min read
Media Mentions August 2025

Brad Campbell and Fred Reish Discuss ‘Trump Baby Accounts’ With Insurance News Net

1 min read
Updates August 2025

Presidential Order Instructs Regulators to Help Facilitate 401(k) Access to Alternative Asset Investments, Including Private Equity and Private Credit

Builds on Existing Regulatory Momentum; Collective Trusts and Closed-End Funds Expected to Play Key Roles in Facilitating Access for Plan Investors
16 min read
Updates August 2025

Thinking ESOPs: The Truth About ‘Conflicts’ Under ERISA

Anderson, et al. v. Intel Corp. Investment Policy Committee, et al., No. 22-16268 (9th Cir. May 22, 2025)
3 min read
Media Mentions August 2025

Fred Reish Speaks on New EO Affecting Private Securities and Digital Assets in ASPPA

1 min read
Media Mentions July 2025

Fred Reish and Brad Campbell Comment on the Pending Fiduciary Rule Decision in ThinkAdvisor

2 min read
Published Articles July 2025

The DOL’s Focus on Conflicts of Interest (Part 1): Householding Accounts and Recommending Affiliate Funds

1 min read
Media Mentions July 2025

Fred Reish Comments on Potential of Private Assets in 401(k) Investments in CNBC

1 min read
Updates June 2025

CLARITY Act: Shifting Oversight of Digital Assets Classified as Commodities to the CFTC

A New Regulatory Landscape for Digital Assets Is Underway
5 min read
Updates June 2025

Tax Court Clarifies Functional Analysis for Limited Partners and Self-Employment Tax

Soroban Capital Partners LP v. Commissioner
5 min read

Meet The Team

Meet The Full Investment Management Compliance Team