Overview

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.

Experience
Representative Experience
  • 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.
    Webinar Recordings

    IM Coffee Chat - A Guide to Mutual Fund Insurance - 7.27.2021

    IM Coffee Chat - Resolving Exam or Enforcement Issues - 7.14.2021

    IM Coffee Chat - Non-compete Agreements: What You Need to Know - 6.30.2021

    IM Coffee Chat - Handling Regulatory Inquiry – Step One: Practice Makes Perfect with Mock Exams - 6.23.2021

    IM Coffee Chat - So, You’re Not a Statistician: Value at Risk for Trustees - 6.16.2021

    IM Coffee Chat - NYAG Blue Sky Law Modernization in Practice - 6.9.2021

    IM Coffee Chat - Protecting Your Intellectual Property: Beware the Trolls - 5.26.2021

    IM Coffee Chat - Considerations for Fund Governance - 5.19.2021

    IM Coffee Chat - Vendor Engagements – Managing Cybersecurity and Privacy Risks - 5.12.2021

    IM Coffee Chat - Session Fifteen - Private Equity in the Registered Fund Structure - 5.5.2021

    IM Coffee Chat - Session Fourteen - The Current State of Private Equity - 4.29.2021

    IM Coffee Chat - Session Thirteen - ERISA's Five-Part Investment Advice Test - 4.21.2021

    IM Coffee Chat - Session Twelve - Cannabis and Division of Investment Management - 4.14.2021

    IM Coffee Chat - Session Eleven - Converting a Mutual Fund to an ETF - 4.7.2021

    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

    Webinar: Seizing Opportunities in the ETF Marketplace - December 01, 2016