Investment Management

Overview

Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management team provides exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance, and enforcement matters for registered and nonregistered persons.

Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Our clients include:

Investment Advisers
Private Equity and Private Funds
ERISA Investment Fiduciaries
Family Offices
Broker Dealers
Dual Registrants
Cryptoasset Traders
Mutual Fund Trusts
FinTech and Robo-Advisers
Investment Bankers and Boutiques
Venture Capitalists
Insurance Companies
Investment Companies
Corporate Banks

Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. Our services include:

Manage and direct the effective integration of the Securities Act, Exchange Act, Advisers Act, and the Investment Company Act of 1940 into the firm’s compliance program
Direct, enhance, implement, and maintain written policies and procedures governing all compliance activities for the adviser and any associated mutual funds, ETFs, CITs, and private funds to comply with federal and state securities laws
Act as the primary compliance liaison for internal and external examiners and assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state Securities commissions, attorneys general, and local authorities
Conduct due diligence and monitor activities of sub-advisers, third-party managers, and other relevant service providers
Draft, coordinate, and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings, and other related materials.

The firm’s multidisciplinary team offers a full suite of services to its clients that includes attorneys experienced in navigating securities and general corporate compliance, tax, ERISA, private equity, fund formation, M&A, data privacy and security, insurance, government relations, regulatory enforcement and litigation, and intellectual property.

This advanced level of expertise across all facets of the financial services industry gives Calfee the insight and perspective to help you develop and execute market-leading strategies all while mitigating risk and staying inside the regulatory framework.

Noteworthy

Chambers Global Leading Lawyers Rankings

Calfee Partner Patrick D. Hayes, Chair of the Investment Management practice group, is recognized as a "Leading Lawyer" in the U.S. in Investment Funds: Regulatory & Compliance in the Chambers Global Legal Guide 2023 (Band 3, USA).

Chambers USA Leading Law Firms and Leading Lawyers Rankings

Since 2022, Calfee Partner Patrick D. Hayes, Chair of the Investment Management practice group, has been recognized as a "Leading Lawyer" in the U.S. in Investment Funds: Regulatory & Compliance in the Chambers Global Legal Guide (Band 3, USA-Nationwide), most recently in 2023.

For more than a decade, Calfee has been recognized as a Leading Law Firm for Corporate/M&A by Chambers USA, most recently in Band 2 in Ohio: North and Band 3 in Ohio: South and Central and in Band 2 in Banking & Finance in Ohio (2023).

Best Lawyers^®“Best Law Firms” Rankings

Calfee was selected for inclusion in the 2024 "Best Law Firms" rankings in the following areas:

Corporate Compliance Law (Regional Tier 2 Cleveland)
Corporate Governance Law (Regional Tier 1 Cleveland)
Corporate Law (National Tier 2, Regional Tier 1 Cleveland, Regional Tier 1 Columbus, Regional Tier 2 Cincinnati)
Leveraged Buyouts and Private Equity Law (National Tier 3, Regional Tier 2 Cleveland)
Securities / Capital Markets Law (National Tier 2, Regional Tier 1 Cleveland, Regional Tier 1 Cincinnati)
Securities Regulation (National Tier 2, Regional Tier 1 Cleveland)
Tax Law (Regional Tier 1 Cleveland)
Venture Capital Law (National Tier 2, Regional Tier 1 Cleveland)