Our team keeps abreast of the business trends and shifting regulatory factors that shape the investment management industry, so we can anticipate how those changes may impact the activities of our investment management clients.
Services
We understand that participants in the investment management industry offer a variety of services and products using a range of business models and operating platforms. We add value to investment management operations through our creative and practical legal counsel, permitting investment professionals and operations personnel to focus on managing and growing their businesses. We regularly assist compliance personnel and/or in-house legal counsel on regulatory and compliance matters. We represent investment advisers in the full range of formation, operational and regulatory matters, from advisory contracts to registration on Form ADV, as well as transactional matters such as mergers and acquisitions, internal reorganization and successions. We represent investment advisers to separate and managed accounts, advisers to pooled investment vehicles (hedge funds, private equity funds, and venture capital funds), and advisers who provide comprehensive wealth management financial services.
In addition, our attorneys are experienced in representing clients in all types of litigation and pre-litigation matters, including strategy and litigation relating to non-solicitation agreements and the broker Protocol in the context of adviser departures from existing firms. We regularly represent clients in litigation involving claims from misrepresentation, securities fraud under state and federal statutes, negligence, unsuitability, breach of fiduciary duty and churning to employment/independent contractor disputes, trade secret, non-compete/non-solicitation and raiding cases. We often represent clients on regulatory and compliance matters, including subpoenas, examinations, investigations, wells notices, and formal complaints by the SEC, FINRA, Department of Labor and State regulators. Our attorneys have served as counsel for receivers appointed by the court in the aftermath of Ponzi schemes.
At Fredrikson & Byron we believe our Investment Management team offers a compelling value proposition. We work to staff each project in a way that maintains team continuity and ensures responsive, expert service to our clients in order to provide the most cost-effective legal advice possible.