Investment Advisors

Investment Advisors

{F001D2D6-3306-48E1-AD5B-C415476EE810}

Dentons has in-depth knowledge of the legal and regulatory issues affecting investment advisors around the world. We represent advisory firms, from small boutiques and family businesses to some of the world’s largest financial institutions and we provide comprehensive advice on all aspects of organization, registration and regulatory compliance. We counsel clients on a broad range of investment advisory products and services, including investment fund products (such as hedge funds, funds of funds and private equity funds), separately managed accounts, structured products and every conceivable type of fund.

Our lawyers have extensive experience in:

Assisting advisors in meeting all levels of domestic and international licensing and registration requirements including SEC, CFTC, state securities regulator registrations, FINRA membership, FSA permission, French AMF registration and the Canadian securities regulatory regime for advisor registration
Preparing investment advisor disclosure documents and reviewing marketing documents and Web sites
Advising on compliance with the full range of regulations and laws, including the US Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, Gramm-Leach-Bliley Act, USA PATRIOT Act, Dodd-Frank Act, Employee Retirement Income Security Act (ERISA), the UK Financial Services and Markets Act and FSA rules, central banks and local regulators in the Middle East, the Canadian securities regulatory regime for registration including National Instrument 31-103 and the EU Alternative Investment Fund Managers Directive
Guiding clients through regulatory examinations, responding to regulatory inquiries, drafting responses to document requests and staff deficiency letters and, when necessary, defending enforcement actions

We also regularly assist clients worldwide in addressing both home-country issues and cross-border matters in such issues as:

Formation, structuring, financing arrangements and tax considerations
Investment advisory contracts, prime brokerage agreements and other agreements affecting investment advisors
Marketing practices and client and service provider arrangements
Personnel issues, including employment, consulting and compensation agreements
Strategic transactions, including joint ventures, mergers & acquisitions, exit strategies and succession matters

Insights

Changes to the SEC Fund Names Rule Impacts ESG Investments

September 27, 2023

United States: The Securities and Exchange Commission (the “SEC”) has adopted important changes to Rule 35d-1 under the Investment Company Act of 1940, the rule that regulates the names used for registered investment companies (the “names rule”).

Key contacts

See the full global team

Local

Select a country to find a local key contact

Angola
Antigua and Barbuda
Argentina
Australia
Azerbaijan
Barbados
Belgium
Bolivia
Brazil
British Virgin Islands
Canada
Cayman Islands
Chile
China
Colombia
Costa Rica
Czech Republic
Dominica
Ecuador
Egypt
El Salvador
France
Georgia
Germany
Grenada
Guatemala
Guyana
Honduras
Hungary
India
Indonesia
Ireland
Italy
Jamaica
Jordan
Kazakhstan
Kenya
Lebanon
Luxembourg
Malaysia
Mauritius
Mexico
Morocco
Mozambique
Myanmar
Netherlands
New Zealand
Nicaragua
Nigeria
Oman
Panama
Papua New Guinea
Peru
Philippines
Poland
Qatar
Romania
Saudi Arabia
Singapore
Slovak Republic
South Africa
South Korea
Spain
St. Kitts and Nevis
St. Lucia
St. Vincent and The Grenadines
Tanzania
Trinidad and Tobago
Tunisia
Türkiye
Uganda
Ukraine
United Arab Emirates
United Kingdom
United States
Uruguay
Uzbekistan
Venezuela
Vietnam
Zambia

Contact a member of the team below

More in Fund Formation and Compliance

Keep in touch

Helping our clients everywhere

Dentons news

Dentons launches combination with PJS Law in the Philippines

Dentons launches combination with Link Legal in India

Dentons launches combination with Zaanouni in Tunisia

Dentons solutions: global tools and trackers

Anti-bribery and anti-corruption laws

Global bid challenge tracker

Global collective redundancy guide

Investment Advisors

Investment Advisors

Insights

Changes to the SEC Fund Names Rule Impacts ESG Investments

Climate-related risks and ESG

A strategic guide for fund managers on ESG investing and navigating regulatory requirements

Share

How can the world's largest global law firm help you today ?

Contact us or find an office in your location.

Leaving Site

Leaving Dentons

Important Notice

Helping our clients everywhere

Dentons news

Dentons launches combination with PJS Law in the Philippines

Dentons launches combination with Link Legal in India

Dentons launches combination with Zaanouni in Tunisia

Dentons solutions: global tools and trackers

Anti-bribery and anti-corruption laws

Global bid challenge tracker

Global collective redundancy guide

Investment Advisors

Investment Advisors

Insights

Changes to the SEC Fund Names Rule Impacts ESG Investments

Share

How can the world's largest global law firm help you today ?

Contact us or find an office in your location.

Redirection

Leaving Dentons

Important Notice