Investment Management
Navigating complex investments with experience and precision.
Our Investment Management attorneys are skilled in representing a wide range of participants in the ever-evolving investment management sector.
This cumulative experience, bolstered by senior-level focus, equips us with the insight, proficiency, and finesse to guide our clients through intricate regulations and to improve their business operations and investments.
Perkins Coie effectively addresses a wide range of federal securities laws issues, inclusive of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act, and the Securities Exchange Act, along with their associated rules and mandates.
Our investment management attorneys offer clients the benefit of different perspectives. Team members include former general counsels of leading investment firms as well as the former associate director of the Division of Investment Management at the Securities and Exchange Commission (SEC), a former enforcement branch chief at the SEC, and former employees of major participants in the investment management business.
Our team’s skill in regulatory and transactional matters about derivatives and repurchase agreements is important. We proudly represent an array of clients, from investment funds to financial institutions and the corporate treasurers of public corporations, in the negotiation of intricate trading documentation with dealer counterparties.
Our team includes lawyers who focus on tax, ERISA, and securities enforcement. This gives us the skills to represent clients in investigations and FINRA actions at every level. Our clients benefit from the experienced advice we give in legal cases about regulatory and enforcement matters.
We frequently represent
- Registered open-end funds
- Registered closed-end funds
- Business development companies
- Hedge funds and other products
- Private equity funds and other private investment companies
- Funds offered by banks and insurance companies
- Family offices and their sponsors
- Investment advisers
- Independent directors
- Broker-dealers
- Transfer agents and clearing agencies
- Exchanges and alternative trading systems
- Fund and other industry service providers
- Wrap accounts
- Bank collective investment funds
- Pension plans
- Other sophisticated investors
Our Team
Perkins Coie offers an extensive range of legal services for registered investment companies, investment advisers, private funds, and family offices.
Registered Investment Companies
Perkins Coie lawyers advise leading major fund complexes in a variety of matters such as:
- Fund formation and registration
- Regulatory compliance
- Risk management
- Corporate governance
- Obtaining exemptive orders, no-action letters, and other relief from regulatory agencies
- Negotiating and structuring investments
- Fund mergers and acquisitions
Our team has worked as government regulators and has often met with regulatory bodies. This helps us create legal solutions that are practical and business-oriented for our clients.
Investment Advisers
As your legal representatives, we offer complete advice on every part of your business, from when it started to how it works now. Our experienced attorneys are particularly skilled in addressing inquiries from the SEC, managing compliance examinations, and navigating investigations.
At Perkins Coie, we have a wealth of experience in transactions involving the acquisition and divestiture of investment advisers and the negotiation of their respective advisory contracts. Our team has written and talked about many things related to the Dodd-Frank Wall Street Reform and Consumer Protection Act. We know the new rules and can help you understand them.
Perkins Coie’s team of experts helps companies with complex data security and privacy issues. They make sure that risks are managed correctly, board reports are made, and incidents are handled quickly.
Private Funds
Our legal team often guides clients on the structuring and management of alternative investment funds, including private equity funds, offshore funds, hedge funds, and other unregistered investment products.
We provide counsel across the spectrum of fund establishment and structuring, investment advisory and service provider agreements, investment transactions, and the oversight of regulatory compliance. Our clients include state pension funds, investors from other companies, family offices, people with a lot of money, and endowments. Many of them have ERISA concerns.
Family Offices
Our team has a wealth of experience in guiding individuals and families who aspire to establish and manage family offices or similar structures. We represent many family offices and the Private Investor Coalition. The Private Investor Coalition is only for family offices.
Independent Directors
Our lawyers often represent independent directors of big fund groups. They have made a big difference in the discussion by writing and teaching about the duties of independent directors.
The Compliance Collective
The Corporate Transparency Act: A Primer for In-House Counsel
Insights
News
Professional Experience
Acquisition of Metco Landscape LLC
Westhook Capital is a private equity sponsor fund that purchased 70% of Metco Landscape LLC after an F Reorganization of Metco Landscape, Inc., an S corporation and a 30% rollover by seller. Also included a mezzanine note from buyer to seller.