Overview

Our Investment Management lawyers counsel fund clients with respect to their relationships with service providers, including investment advisers, transfer agents, custodians, distributors, third party administrators and others.

Representative services include:

  • Reviewing and negotiating service agreements between a fund and its investment adviser, transfer agent and distributor.
  • Addressing regulatory and contractual issues involved in a change in service provider.
  • Counseling clients on structuring arrangements with service providers to satisfy regulatory concerns regarding compensation and other matters.
  • Reviewing and negotiating recordkeeping/sub-transfer agency agreements with third party administrators and other retirement plan service providers.