Investment Management
Our lawyers represent the financial and regulatory interests of mutual funds, independent directors of mutual funds, investment advisers and broker-dealers, banks, insurance companies and insurance company separate accounts. As counsel to several of the nation's largest mutual fund groups and institutional money managers, we help our clients comply with federal and state securities law, develop tax planning strategies, acquire and divest investment advisers and create innovative mutual fund capital structures and operating procedures. We bring the same skills to international clients seeking to acquire investment companies or offer securities in the United States.
Practice Profile (PDF)
Representative Client Work
- Provide fund clients with assistance in establishing and registering new funds in addition to handling fund mergers including consolidations within funds as well as mergers of unaffiliated funds
- Counsel fund clients on federal and state tax issues
- Represent investment advisers and their principals on acquisitions and sales of investment advisory businesses
- Represent one of the largest private equity managers on the offering, distribution and management of private equity funds
- Conduct internal compliance reviews of investment advisers both in the U.S. and abroad
News
- June 4, 2013
Sullivan & Worcester Ranked in the 2013 Edition of The Legal 500 United States
S&W Press Release - April 9, 2013
Hi, I’m Norm From the SEC. Tell Me About Your Job
BoardIQ - November 1, 2012
Sullivan & Worcester LLP Receives Top Rankings in the 2013 U.S. News – Best Lawyers "Best Law Firms" Rankings
S&W Press Release - August 22, 2012
Sullivan & Worcester Attorneys Named in 2013 Best Lawyers®
The Best Lawyers in America 2013® - June 1, 2012
Sullivan & Worcester LLP Receives Top Rankings in Six Categories in the 2012 Edition of The Legal 500 United States
Press Release - August 31, 2011
Sullivan & Worcester Attorneys Named in 2012 Best Lawyers® - July 2011
Chapter 1, "Industry Overview," Mutual Funds: Law and Practice
Law Journal Press - July 2011
Chapter 10, "SEC Examinations, Investigations and Enforcement Actions," Mutual Funds: Law and Practice
Law Journal Press - July 2011
Chapter 4, "Board and Director Obligations," Mutual Funds: Law and Practice
Law Journal Press - July 2011
Chapter 7, "Mutual Fund Operations," Mutual Funds: Law and Practice
Law Journal Press - July 15, 2011
SEC's Whistleblower Program Finalized
Business Law Today - August 3, 2009
Sullivan & Worcester Attorneys Named in 2010 Best Lawyers®
The Best Lawyers in America 2010
Events
- April 7, 2011
18th Annual Mutual Fund Industry Awards
Publications
- June 10, 2011
SEC's Whistleblower Program Finalized
Client Advisory - September 17, 2010
What General Partners and Advisers Should Know about Campaign Contributions and Gifts to or on behalf of Government Pension Plans and other Entities
Client Advisory - September 16, 2010
New SEC Rules Provide Shareholders with the Right to Include Director Nominees in Company Proxy Materials
Client Advisory - August 9, 2010
SEC Proposes Overhaul of Mutual Fund Distribution and Service Fees
Client Advisory - July 16, 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act’s Potential Impact on Mutual Funds, Private Funds and Investment Advisers
Client Advisory - April 1, 2010
Supreme Court Upholds Gartenberg Standard for Mutual Fund Boards
Client Advisory - March 11, 2010
SEC Adopts Final Rule Amendments to Increase Resilience of Money Market Funds
Client Advisory - July 9, 2009
Elimination of Broker Discretionary Voting in Director Elections
Client Advisory - July 2, 2009
SEC Proposes Rule Amendments to Strengthen Regulatory Framework for Money Market Funds
Client Advisory - April 24, 2009
Delaware Court Reviews Executive Compensation Issues
Defense and Investigations Report - 2d ed. 2004, supp. 2006; 1st ed. 1978, supp. 1991
Investment Management Law and Regulation
Aspen Publishers