Related Areas

Attorneys

We combine a deep understanding of the legal and regulatory aspects of investment companies with an understanding of the constantly changing market realities

We represent a range of registered investment companies and their sponsors including open-end and closed-end funds, exchange-traded funds (ETFs) and unit investment trusts (UITs). We combine a deep understanding of the legal and regulatory aspects of investment companies with an understanding of the constantly changing market realities in working with investment company sponsors on nearly all aspects of product development, operation and distribution. We also represent the independent directors of investment companies.

Chapman and Cutler LLP began its representation of investment companies in the 1960s with the formation of the first tax-exempt UIT. Since that time we have represented thousands of unit investment trusts and expanded our practice to represent virtually all categories of investment companies.

Some of the services we provide to our investment company clients include:

We also work with a variety of clients to analyze their organizations’ practices and structures to determine whether they fall within the definition of “investment company” under the Investment Company Act of 1940 and/or whether they are eligible from an exemption from registration.