Investment Management

The investment management industry is expected to continue to experience a rapid pace of change in the coming years. New investment strategies, shifting demographics and investor needs, the influence of financial technology, expense trends and increasing regulatory pressures are all proving to be industry game changers. As these extraordinary challenges for the industry continue, Goodwin is uniquely positioned to provide comprehensive and innovative solutions as market participants prepare for these changes, and our team can help clients capitalize on new opportunities and navigate the growing marketplace challenges.

Goodwin is repeatedly ranked among the top law firms for its comprehensive investment management practice. We have  extensive experience representing regulated and private funds, independent directors, investment advisers, insurance companies, trust companies/departments, private wealth managers, custodian banks, transfer agents, retirement plan sponsors, securities lending agents and other fund service providers. Our business and litigation lawyers work together shoulder-to-shoulder to provide holistic services to our investment management clients, not only defending those clients when litigation arises, but providing counseling to clients about ways to avoid litigation. We endeavor to foresee where the next wave of litigation will emerge from before it arrives. 

We take pride in establishing a thorough understanding of the business and goals of each client, and we have a deep knowledge of the markets and the complex regulatory environments in which our clients operate based on our decades of experience.  This integrated approach results in strategic advantages, efficiency, and sensitivity to issues.

With a long history of representations of a wide variety of investment management clients, our expertise is broad and deep. In addition to our practice focused on registered funds, Goodwin has strong practices in private investment funds including hedge funds, private equity funds, real estate funds and venture funds. Our investment management work capabilities are further enhanced by the firm’s key complementary strengths in tax, bank and fiduciary regulation, broker-dealer regulation, debt financing, ERISA, executive compensation and employment, intellectual property, privacy & cybersecurity, and trade regulation.

Strategic Transactions & Structures

  • Assist clients in the creation and launch of all types of funds, including registered funds using alternative strategies.
  • Represent financial and strategic investors, management teams and firms in minority and controlling investment transactions and capital markets transactions.
  • Represent funds and their independent directors in fund, acquisition mergers and reorganizations and other strategic transactions.

Advisory & Regulatory Compliance

  • Counsel industry participants in navigating increasingly complex regulatory and compliance requirements and avoiding pitfalls in structuring and operating funds and other investment products.  
    Form and represent registered open- and closed-end funds, exchange-traded funds and business development companies, and represent independent trustees, investment advisors and other registered fund service providers.
  • Represent clients in their interaction with the SEC and other regulatory agencies, from informal interactions to formal proceedings.
  • Work with clients on SEC filings, from interacting with regulatory authorities in processing registration statements to, and in preparing and negotiating no-action letters and exemptive applications. 
  • Advise on a broad spectrum of board-related matters, including governance structure, contract renewal, significant transactions and risk oversight.

Investigations & Litigation

  • Represent mutual fund advisers and fund independent directors in connection with mutual fund fee litigation.
  • Defend our investment management clients in the event of regulatory investigations and litigation, including “bet-the-company” defenses, enforcement actions, FCPA, False Claims Act, government and internal investigations, and whistleblower litigation.

Our team is very active and highly regarded in the investment management industry and maintains close working relationships with financial regulators and industry groups. Many of our partners have been selected for inclusion in Chambers USA and The Best Lawyers in America and regularly serve as panelists and speakers at industry conferences.

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Contacts

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Philip H. Newman

Chair of Investment Management
Partner
Meet the Team