Our lawyers counsel investment companies and their boards, investment advisers, commodity pool operators, commodity trading advisors, distributors and other service providers affected by the evolving regulations and guidance surrounding financial markets.
We help clients navigate regulations, reporting obligations and increasing scrutiny by regulators. Our team works to minimize the potential for investigations and regulatory actions through ongoing risk management assessments, fiduciary, compliance and reporting counsel and drafting and reviewing compliance manuals.
Our independent risk management assessments address supervisory frameworks, and overall compliance policies and procedures, conflicts of interest, breaches of fiduciary duty and securities law violations. We have performed this work for regional and national firms, including some with extensive foreign operations.
Our counsel to clients concerning their fiduciary, compliance and reporting obligations focuses on strengthening supervisory procedures and internal controls, increasing reports to management and fund boards, determining whether compliance policies and procedures are implemented as written, and heightening participation by the compliance and legal departments in matters involving regulatory issues.
Our lawyers have experience in drafting and reviewing compliance manuals and related policies and procedures, including codes of ethics, valuation and pricing procedures, portfolio trading policies, business continuity plans, proxy voting procedures, selective disclosure policies and anti-money-laundering programs. We have also counseled our clients on various compliance-related matters such as annual compliance testing and risk assessments.
The personal touch that we receive from the firm is invaluable. It is so important that they do not treat us like a number, but always take care of things for us in a very expedient fashion.Chambers USA 2015, quoting a Drinker Biddle client
- Investment Management
- Commodity and Derivative Financial Products
- Corporate and Securities
- Business Tax
- Employee Benefits and Executive Compensation
- Financial Services ERISA
- Investment Advisers
- Investment Companies
- Private Funds and Alternative Products
- Securities and Corporate Governance Litigation