Overview

Faegre Drinker maintains a multidisciplinary team expressly dedicated to counseling national and multinational registered and private funds and their sponsors, investment advisers, broker-dealers and other institutional market participants. With decades of experience, our attorneys have deep roots in the industry. Several bring valuable public institution experience to the team, while others formerly held senior roles within the Securities and Exchange Commission (SEC) and the Department of Labor.

We help clients solve problems and uncover opportunities while placing the highest premium on innovation, efficiency and practicality — whether for a billion-dollar institution or an innovative startup. Collaborating among ourselves and frequently with colleagues throughout the firm, we handle matters related to domestic and offshore fund structures and offerings, management organizations, seeding arrangements, strategic transactions and conversions, vendor agreements, state and federal registrations, advisory agreements, trading practices, conflicts of interest, and compliance programs. We also advise clients on regulatory and board governance requirements as well as new legislative and administrative proposals, regulations and interpretations, and assist them when they are questioned or challenged by regulators on various matters.

Our regulatory and compliance services extend to dealings with the SEC, the Commodity Futures Trading Commission and self-regulatory organizations; examination guidance; enforcement defense; internal investigations; prevention strategies; cybersecurity matters; and fiduciary duties. When it best serves our clients’ interests — and especially in highly contentious matters — we confidently embark on financial services litigation, an area in which we excel.

Insights & Events

Latest

最新 June 2025

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

Soroban Capital Partners LP v. Commissioner
5 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  
Podcast May 2025

The Role of Entrepreneurs: Discussion of How Entrepreneurs Use Innovation, Technology and Guts to Blaze a Path Towards Sustainability

Deanna’s Dialogues: Navigating Carbon Sustainability
2 min read  
Speaking Engagement Recap May 14, 2025

Trading Practices, Portfolio Compliance and Related Enforcement Cases

Investment Adviser Certified Compliance Professional (IACCP) Program Symposium
1 min read  
媒体报道 April 2025

Ilene Froom Discusses Market Volatility in Banking Industry With Risk.net

1 min read  
媒体报道 April 2025

Fred Reish Cautions Against Rollovers on Retirement Savings in MarketWatch

1 min read  
发表文章 Winter 2025

Rollover Recommendations: The DOL Fiduciary Rule Stay and What Remains

1 min read  
媒体报道 March 2025

Fred Reish Comments on Shifting Strategies on DOL Fiduciary Rule for Financial Advisor

1 min read  
Press Release January 2025

Faegre Drinker Holds Steadfast in London Growth, Brings on Financial Services Regulatory Partner Steven Francis

2 min read  
Press Release November 2024

Faegre Drinker Welcomes Derivatives Partner Ilene Froom to New York Investment Management Group

2 min read  
Insights
最新 June 2025

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

Soroban Capital Partners LP v. Commissioner
5 min read  
Podcast May 2025

The Role of Entrepreneurs: Discussion of How Entrepreneurs Use Innovation, Technology and Guts to Blaze a Path Towards Sustainability

Deanna’s Dialogues: Navigating Carbon Sustainability
2 min read  
媒体报道 April 2025

Ilene Froom Discusses Market Volatility in Banking Industry With Risk.net

1 min read  
媒体报道 April 2025

Fred Reish Cautions Against Rollovers on Retirement Savings in MarketWatch

1 min read  
发表文章 Winter 2025

Rollover Recommendations: The DOL Fiduciary Rule Stay and What Remains

1 min read  
媒体报道 March 2025

Fred Reish Comments on Shifting Strategies on DOL Fiduciary Rule for Financial Advisor

1 min read  
媒体报道 March 2025

David Williams Featured in American Lawyer’s ‘How I Made Practice Group Chair’ Series

1 min read  
媒体报道 March 2025

Steven Francis Comments on Financial Conduct Authority Abandoning Name and Shame Proposal for Regulated Firms

1 min read  
March 2025

Steven Francis Comments on Financial Conduct Authority Abandoning ‘Name and Shame’ Proposal for Regulated Firms

1 min read  
最新 March 2025

Trump Administration’s America First Investment Policy to Bring Changes to CFIUS and Outbound Investment Reviews

New Risks and Opportunities for Both Foreign and Domestic Investors
6 min read