Securities and Exchange Commission (SEC) – Division of Investment Management

As national and global market leaders know, the ability to understand and navigate the Securities and Exchange Commission’s regulatory and enforcement landscape is critical to any asset manager. From long experience and with a practical knowledge of government and regulatory policy, decision making, examination and enforcement practices, and personnel, Latham lawyers have the judgment and insight necessary to develop a strategy for the specific needs of each matter and each client.

Latham draws on deep experience with the SEC to guide clients through complex regulatory, structuring, and transactional challenges. We advise clients on the full range of legal, regulatory, and compliance issues affecting asset managers and the investment management industry. In particular, Latham lawyers are well positioned to provide in-depth experience particularly in matters involving the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Latham lawyers bring a combination of private practice and government experience to serve their clients. Many Latham partners have served as senior officials at the SEC, including those who have served in the agency’s Division of Investment Management, Latham’s team is well-positioned to provide insight and guidance on the latest regulatory issues regularly facing asset managers and investment advisers.