Investment Advisors

Investment Advisors

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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”).

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