Investment Management > Regulatory & Compliance – Investment Adviser

As the fund industry becomes more and more regulated, investment advisory clients trust Akin Gump Strauss Hauer & Feld LLP’s team of highly skilled regulatory and compliance specialists to provide informed guidance that is tailored to their business and operations. We provide our advisory clients with a full range of legal services, including:

  • registration of advisers and managers with the SEC, CFTC and the FSA
  • preparation, review and customization of compliance manuals
  • advice on all aspects of EU and U.K. financial services legislation, including AIFMD
  • assistance with SEC and FSA investigations and examinations
  • design of insider trading compliance programs
  • advice regarding global securities and commodities trading
  • advice on Foreign Corrupt Practices Act issues
  • preparation of SEC forms, including Form ADV, annual amendments, Form PF and Section 13 and 16 filings
  • advice concerning day-to-day compliance requirements
  • global anti-money laundering rules
  • analysis of blue sky and international private placement obligations.

We represent a wide range of registered and exempt advisers, with an emphasis on managers of hedge funds and private equity funds. Our clients not only benefit from the full breadth of our investment management practice, but also have immediate access to our attorneys’ experienced counsel regarding tax strategies, ERISA matters, CFTC regulation and complex commercial litigation, including civil securities litigation and arbitration.