FINANCIAL SERVICES
The Investment Management attorneys at Practus have extensive experience in the creation and administration of innovative investment strategies and services.
As the investment management industry and our clients have evolved, so have we, by adding attorneys with experience in emerging areas such as next-generation exchange-traded products, Commodity Futures Trading Commission (CFTC) regulation, and derivatives trading.
From some of the biggest names in the industry to boutique businesses, the team at Practus advises a range of clients encompassing insurance companies, investment advisers, institutional investors, service providers, and public and private funds.
Count on our financial services team to help achieve your goals.
Types Of Transactions And Services:
- Registered & Unregistered Investment Companies, including Mutual Funds, Exchange-Traded Funds, & Closed-End Funds
- Independent Director/Trustee Counsel
- Investment Advisers
- Derivatives & Commodities
- Financial Services Tax
- Custodians, Administrators, & Transfer Agents
- IM Litigation & Enforcement Matters
- Financial Services M&A
- Investment Company Status
- Regulatory Compliance
- Collective Investment Trusts
- Insurance Products
- Regulatory Exams and Investigations
- Broker-Dealers
- Anti-Money Laundering
- Ongoing Compliance Services for Investment Advisers and Broker-Dealers
- Outsourced Chief Compliance Officer and Anti-Money Laundering Officer Services
- Investment Adviser Formation, Regulation and Compliance
- Broker-Dealer Formation, Regulation and Compliance
- Securities Enforcement and Regulation
- Independent Investigations
Financial Services Attorneys:
Karen A. Aspinall
Partner and Practice Area Chair – Financial Services
