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Registered Funds

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Overview

Proskauer’s Registered Funds Group has a broad-based practice representing some of the nation's largest fund complexes as well as smaller, specialty fund groups. Our team of experienced lawyers advises on the formation and operation of hundreds of investment companies, including open­-end funds, closed-­end funds, interval funds, ETFs, variable insurance and variable annuity products, hedge funds, private equity funds and other pooled investment vehicles. We also have experience with less traditional structures such as BDCs, master­-feeder funds, manager­-of-­managers funds, registered funds of hedge funds and other alternative investment products. In many cases, these funds or their advisers were "first" or principal movers in these areas.

Our practice involves all aspects of investment company operations, including advice and assistance related to:

  • New product development and registration
  • Regulatory and governance matters
  • Distribution and servicing matters, including financial intermediary and omnibus relationships
  • Negotiation and oversight of service providers arrangements
  • Development of tailored compliance programs
  • Marketing and advertising
  • Operational matters and transactions, including credit facilities and securities lending programs
  • Exceptional events, such as mergers, acquisitions, fund adoptions, liquidations and other restructurings
  • Exemptive, no-­action and similar regulatory relief
  • SEC examinations, inspections and enforcement investigations and proceedings