Our lawyers counsel fund clients with respect to their relationships with service providers, including investment advisers, transfer agents, custodians, distributors, third-party administrators and others.
- 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.
IM Coffee Chat - Session Ten - ESG Investing from Different Angles - 3.31.2021
IM Coffee Chat - Session Nine: R.I.P. ESG? Implications of Recent ERISA Guidance on ESG Investing - 2.24.2021
IM Coffee Chat - Session Eight: New Adviser Advertisement Rule – Performance Advertising - March 17, 2021
IM Coffee Chat - Session Seven - SEC's New Marketing Rule: Testimonials, Endorsements and Solicitation Activity - March 10, 2021
IM Coffee Chat - Session Six - SEC’s New Marketing Rule: Redefining “Advertisement” - March 03, 2021
IM Coffee Chat - Session Five - 2021 Form ADV Updates - February 26, 2021
IM Coffee Chat - Session Four - Building a Diverse Board - February 24, 2021
IM Coffee Chat - Session Three - Diversity in the Boardroom - February 17, 2021
IM Coffee Chat - Session Two - Bitcoin ETPs - February 10, 2021
IM Coffee Chat - Session One - Cryptocurrency Products: State of Play - February 3, 2021
Webinar Series for Private Funds – It's a New Day: Fees & Expenses and Codes of Ethics - August 26, 2020
Webinar Series for Private Funds – It's a New Day: Conflicts, Part II - August 12, 2020
Webinar Series for Private Funds – It's a New Day: Conflicts, Part I - July 29, 2020
SEC Comments: Proposed Offering and Communication Rules for BDCs and Closed-End Funds – Webinar - June 17, 2019
Webinar: Seizing Opportunities in the ETF Marketplace - December 01, 2016