Investment Management

Chapman’s Investment Management Group advises clients on a broad range of matters for registered investment companies and their independent directors, private funds and their investors, investment advisers, broker-dealers and municipal advisors. We counsel clients on formation, legal, regulatory, compliance, tax, operational, investment and transactional issues. We combine knowledge about the practical aspects of our clients’ business and industries with an understanding of the laws and regulations governing securities, funds, advisers and broker-dealers to craft workable solutions. We work diligently to educate ourselves in the constantly changing business, legal and regulatory environment faced by members of the investment management industry.

We work with clients in connection with the regulatory requirements under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and the Commodity Exchange Act. We assist clients with the registration and ongoing regulatory requirements of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) and various self-regulatory organizations including the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB) and National Futures Association (NFA). Our group includes attorneys who understand the full range of legal and regulatory issues faced by the investment management industry. We work with attorneys in other areas of the firm regarding a variety of related issues including tax, general corporate matters, and the Employee Retirement Income Security Act (ERISA), banking and insurance laws, litigation and alternative dispute resolution, and bankruptcy and insolvency concerns. Our group also includes attorneys who advise clients in structuring and negotiating leverage facilities and derivatives transactions along with the corresponding regulatory and compliance issues.

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