Mayer Brown provides legal counsel on the full range of products and services offered by investment advisers. We help investment advisers anticipate and adapt to global regulatory issues that affect all aspects of their business. We provide our clients with the knowledge and resources to creatively and efficiently structure investment services, products and funds, regardless of the client’s style, strategy, product or organizational form.
Our investment management practice provides comprehensive legal services to every type of organization that offers investment advice, including sole proprietors, corporations, partnerships, limited liability companies and joint ventures. We counsel registered and unregistered investment advisers as well as advisory personnel that provide advice through banks, broker-dealers, trust companies and similar financial institutions.
Our clients range from small start-ups to some of the largest financial institutions in the world, including full-service broker-dealers and investment banking firms. The spectrum of clients to which they provide investment advice includes retail wrap fee programs, institutional investors, private funds and registered investment companies.
Our broad market experience enables clients to maximize opportunities worldwide—including such developing markets as China, India and Central Asia—while remaining in full compliance with relevant national and multilateral regulatory authorities.
Our comprehensive grasp of regulatory requirements established by the US Securities and Exchange Commission (SEC), the UK Financial Conduct Authority (FCA), the Hong Kong Securities and Futures Commission (SFC) and other regulatory agencies in major financial markets, enables us to help clients offer cross-border advisory services, design complex investment products and creatively structure funds and arrangements with their service providers.
We are well-versed in the Investment Advisers and Investment Company Acts of the United States, the Financial Services and Markets Act of the United Kingdom, the Banking and Investment Acts of Germany and similar legislation in Hong Kong and Southeast Asia. We have a thorough understanding of the related regulations adopted under these statutes as well as the European Union’s regulations and directives including the Undertakings for Collective Investment in Transferable Securities (UCITS).