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.

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