Drinker Biddle has a well-established practice in the regulation of money managers. The group’s lawyers provide a comprehensive array of legal services to federal and state registered and unregistered investment advisers concerning regulatory issues, and all facets and stages of their businesses, including:

      • Planning, structuring, organizing, funding and reorganizing advisers
      • Ongoing operations
      • Mergers and acquisitions
      • Regulation under federal and state laws
      • Product development
      • Best practices
      • Enforcement and litigation
      • Registration
      • Form ADV disclosure
      • Securities and Exchange Commission inspections
      • Review and negotiation of contracts
      • Risk management, compliance programs and compliance manuals
      • Advertising and legal investment issues
      • Current interpretations of regulatory authorities such as the SEC