Mutual Funds
The firm has extensive experience in all types of investment company matters, from the financing and organizational concerns of the start-up phase to the managerial and regulatory issues involved in ongoing investment company operations. Vedder Price has experience in structuring new mutual funds, handling SEC investment company registrations and exemptive applications as well as state filings, addressing funds’ continuing disclosure obligations, negotiating a full range of contracts such as distribution, brokerage, foreign and domestic custody, shareholder servicing and insurance agreements, and counseling independent directors of investment companies on their duties and responsibilities under the law.
Attorneys work with in-house personnel to achieve the most cost-effective handling of compliance matters. The firm handles shareholder meeting preparations and proxy solicitation matters and advises fund management about reporting requirements, promotional materials and other regulatory matters such as SEC inspections. Vedder Price has extensive experience in handling transactional matters for investment companies, such as the reorganization of an investment company as a Massachusetts business trust or Delaware statutory trust or the acquisition by a mutual fund of one or more other investment companies. Attorneys counsel funds and advisers on advertising compliance and electronic distribution, including online transaction and privacy issues. The firm also has experience in variable insurance products. Attorneys in the firm’s tax department lend special knowledge with respect to Subchapter M tax treatment and other tax issues applicable to regulated investment companies and variable insurance products. Vedder Price attorneys also advise funds and advisers on trading in futures and options contracts and various hedging activities. The firm also has experience representing investment company and investment adviser clients in administrative proceedings and in securities and commercial litigation matters.
Vedder Price attorneys have advised Investment Services Group clients on the structuring and operation of nonregistered pooled investment vehicles. Vedder Price attorneys are experienced in creating group trusts, Delaware statutory trusts and limited liability companies. The firm also is experienced in obtaining exemptions from registration for pooled vehicles that fall within the statutory definition of an investment company but that have a basis for exemptive relief. In addition, the firm represents governmental pools that are outside the application of the Investment Company Act of 1940.
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