Investment Management

Investment managers and institutional investors are seeing numerous challenges
and opportunities shaping the industry. Regulatory requirements have become more
stringent, capital flows are less reliable and industry consolidation is increasing as firms look to improve efficiency and competitiveness.

At Sterlington, we help guide our clients through both challenges and opportunities with a commercial focus. We understand the challenges and risks facing the investment management industry not just from a legal standpoint but also from a business one. Our team of lawyers include experts in M&A, finance, regulatory, employment law, IP, tax and litigation so we can offer you comprehensive support from all angles. We pride ourselves on our responsive, tailored service, which takes into account your strategies and requirements, and ensures that our legal solutions align with your goals.

We organize, structure, and prepare documentation for investment vehicles on behalf of investment managers. We advise on regulatory filings, risk management strategies, and disputes. We also counsel investment managers on compliance responsibilities, and provide seasoned SEC, securities law, broker-dealer advice and registrations, and interfacing with regulators during regulatory audits or extraordinary events.

Our team previously held roles including COO of Credit Suisse’s Customized Fund Investment Group, Co-Head of Investment Management M&A at Schulte Roth and Chief Compliance Officer of an $80B AUM asset manager.