Vedder Price

Defense for Investment Advisers & Funds Vedder Service

Vedder Price’s investment adviser defense team has experience representing investment advisers, investment companies, commodities trading advisers, hedge funds, mutual funds and fund directors or trustees in connection with government investigations and inquiries, enforcement proceedings, litigation and administrative proceedings relating to alleged violations of federal and/or state securities laws. We work closely with Vedder Price’s nationally recognized Investment Services practice in successfully defending our clients in these types of matters.

We deal with cutting edge areas of the law and represent investment advisers and investment funds in high-profile matters that have industry-wide implications. Our broad experience includes work on matters involving allegations of fraud arising under the Securities Exchange Act, Investment Advisers Act and/or Investment Company Act; conflicts of interest and disclosure issues, governance/compliance breakdowns, board governance and oversight, self-reporting to regulators, mock audits and internal investigations.


Recent Experience

  • Conducted a comprehensive internal investigation and successfully represented an investment adviser and its officers in an SEC investigation involving conflicts of interest relating to its portfolio managers
  • Currently representing an investment adviser in an SEC investigation involving exchange-traded funds (ETFs) and best execution
  • Currently representing the independent trustees of mutual funds in an SEC investigation involving supervision and oversight issues
  • Successfully defended an investment adviser and its officers in an SEC investigation involving compliance matters
  • Successfully represented the independent trustees of a large investment fund in an SEC investigation involving the appropriateness of risk disclosures and oversight
  • Successfully represented an investment adviser in an SEC investigation relating to portfolio risk and allocation
  • Conducted a thorough internal investigation for investment advisers relating to potential claims with respect to foreign exchange transactions
  • Successfully represented the independent trustees of a mutual fund in an SEC investigation involving conflicts of interest allegations and supervision issues
  • Vedder Price routinely defends investment advisers throughout insider trading investigations