Laura N. Ferrell is a partner in the Corporate Department and a member of the Investment Funds Practice and Financial Institutions Industry Group.
Ms. Ferrell advises a broad cross-section of the asset management industry on a variety of complex legal, regulatory, and compliance matters. In addition to advising leading global financial services institutions, Ms. Ferrell represents a variety of public and private investment vehicles including:
Private equity funds
Private credit funds
Hedge funds
Business development companies (BDCs)
Robo-advisors
Alternative investment funds
Open- and closed-end mutual funds
Structured products
Ms. Ferrell advises clients on cutting-edge legal, regulatory, and compliance matters in connection with:
SEC examinations, investigations, and enforcement proceedings
The formation of investment funds and the structuring and development of new investment products
The acquisition and sale of registered investment advisers
The registration of private equity sponsors and other investment advisers under the Advisers Act and related regulatory and reporting matters
Investment adviser status analysis under the Advisers Act and related regulatory and compliance considerations
Capital markets, financing, and restructuring transactions involving asset managers and investment funds
Investment company status issues arising under the 1940 Act and related regulatory and compliance matters
Seeking and obtaining exemptive and no-action relief from the SEC
While in law school, Ms. Ferrell was a contributing editor on the Michigan Law Review.
Experience
Ms. Ferrell’s representative clients include:
BlackRock
Blue Owl
The Carlyle Group
Consonance Capital Partners
Credit Suisse
Dyal Capital Partners
Energy Capital Partners
Global Infrastructure Partners
Golden Gate Capital
GTCR
J.P. Morgan
Onex Corporation
PIMCO
Sprott
Thought Leadership
Panelist, “Chief Compliance Officers Working Group Webinar: Priorities for the New SEC Regime: ESG, SPACs, Cybersecurity and More” American Investment Council(June 2021)
“SEC Issues Alert on Compliance Risks Related to COVID-19,” Latham & Watkins Article (August 2020)
“SEC Flags Deficiencies in Private Fund Adviser Compliance,” Latham & Watkins Client Alert (July 2020)
“Alternative Data: Regulatory and Ethical Issues for Financial Services Firms to Consider,” Latham & Watkins Client Alert (March 2020)
“SEC Extends Relief From MiFID II Research Unbundling Provisions,” Latham & Watkins Client Alert (November 2019)
“What Institutional Broker-Dealers Need to Know About Regulation BI,” Latham & Watkins Client Alert (July 2019)
Panelist, “Chief Compliance Officers Working Group Meeting: SEC Exams Update, Auditor Independence, ILPA Policy Challenges” American Investment Council(June 2019)
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