Creative solutions to complex regulatory matters

In an increasingly dynamic regulatory environment, our dedicated private investment funds regulatory team provides creative solutions to the most complex regulatory matters.

Our private investment funds practice is among the most active and respected in the market, and our regulatory practice is integral to this platform. We provide cross-border advice to asset managers, investment funds and their advisers, financial institutions, and institutional investors, as well as regulated fund advisers, on diverse investment products, across all sectors of the industry.

The team includes former members of regulatory agencies, such as the SEC and DOJ, and others who have spent decades guiding clients in the private sector. We understand both agency interpretations and market practices, helping our clients chart a course through a rapidly evolving regulatory landscape.

The breadth of our work coupled with the ability to leverage subject-matter experts from our diverse bench of asset management dedicated lawyers, provides for a keen understanding of our client’s needs within their business frameworks, and how increasingly complex oversight from regulatory regimes can deeply impact their transactions and general operations.

Areas of Focus (U.S.)

  • SEC rules
  • FINRA rules
  • CFTC rules


  • NFA rules
  • Stock exchange listing standards
  • Other agencies and sef-regulatory organizations (SROs)

Our team also addresses every aspect of U.S. securities regulation, including, among others, insider trading, breaches of fiduciary and contractual duties, conflicts of interest, financial fraud, anti-money laundering and sanctions issues, hedge fund trading, related party transactions, bond trading, performance fees, soft dollar issues and stock manipulation. 

Areas of Focus (Europe)

  • MiFID II
  • EMIR
  • Market Abuse Regulation (MAR)
  • Short Selling Regulation
  • SFTR


  • Senior Managers & Certification Regime
  • Remuneration regulation
  • Fund marketing strategies for Europe
  • SFDR/Taxonomy Regulation
  • PRIIPs

View all