Investment Funds: Regulatory & Compliance

Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management lawyers provide exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance, and enforcement matters for registered and nonregistered persons.

Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Clients include:

• Investment Advisers
• Private Equity and Private Funds
• ERISA Investment Fiduciaries
• Family Offices
• Broker Dealers
• Dual Registrants
• Cryptoasset Traders
• Mutual Fund Trusts
• FinTech and Robo-Advisers
• Investment Bankers and Boutiques
• Venture Capitalists
• Insurance Companies
• Investment Companies
• Corporate Banks

Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. 

The team includes six experienced Investment Management compliance professionals (not attorneys) with titles ranging from Chief Compliance Officer to Compliance Operations & Risk Consultants.