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.