WE HELP INVESTMENT MANAGEMENT CLIENTS STAY AHEAD IN A COMPLEX REGULATORY ENVIRONMENT.
Overview
Dorsey advises investment management clients on all aspects of investment regulation, compliance, investigation, litigation and enforcement. Our multidisciplinary team of lawyers leverages years of experience and deep knowledge of the industry and its many regulators, including the Securities and Exchange Commission (SEC), State Securities Regulators, the Financial Industry Regulatory Authority (FINRA), the Commodities Futures Trading Commission (CFTC), the National Futures Association (NFA) and other self-regulatory organizations.
We provide comprehensive advice on securities regulatory matters, domestic and offshore private fund formation and international and domestic tax structuring and reporting. When needed, our global platform of sophisticated practices allows us to draw upon deep experience across the firm in the related areas of cybersecurity, anti-money laundering and foreign corrupt practices act compliance, government enforcement, corporate investigations and securities and financial services litigation.
Our clients include investment advisers, domestic and foreign broker-dealers, private equity funds, hedge funds, registered investment companies and their independent boards, structured product sponsors and other financial institutions.
