Dentons’ lawyers are experienced advisors to investment companies and registered funds around the world. We represent clients in connection with the full range of investment company industry products and activities, including all types of open-end and closed-end investment companies, ETFs, funds of funds, private and offshore investment funds and unit investment trusts. Our practice covers the entire investment company business, from organizing and registering open- and closed-end mutual funds to providing ongoing advice and representation to the funds and their advisors, directors and distributors. Our specific areas of focus include:

• Creation of new financial products
• Marketing, advertising and distribution of investment products and services
• Negotiating, structuring and evaluating the legal dimensions of investments in financial instruments (such as swaps, private placements and variable rate securities, lines of credit and other financing)
• Corporate governance matters for investment companies, as well as advising fund boards
• Mergers & acquisitions of money management firms and investment companies
• Responding to regulatory issues and representing clients in enforcement investigations and proceedings
• Obtaining exemptive, no-action and similar relief from regulators
• Developing compliance systems and regulatory controls

We also have extensive dealings with regulators in our key jurisdictions, including the US SEC, the US Department of Labor, Financial Industry Regulatory Authority (FINRA), US Commodity Futures Trading Commission (CFTC), federal and state banking regulators, the Financial Services Authority (FSA), the French financial markets authority (AMF), central banks and local regulators in the Middle East, and various Canadian securities commission staff, analysts, policy makers and governing bodies.

Insights

Corporate Transparency Act: Impact on Securitization Issuing Entities

November 21, 2023

The Corporate Transparency Act (CTA) was enacted in 2021, and requires certain corporations, limited liability companies and similar entities (including statutory trusts created by filing a document) to file beneficial ownership reports with the Financial Crimes Enforcement Network (FinCEN) beginning in 2024.

Changes to the SEC Fund Names Rule Impacts ESG Investments

September 27, 2023

United States: The Securities and Exchange Commission (the “SEC”) has adopted important changes to Rule 35d-1 under the Investment Company Act of 1940, the rule that regulates the names used for registered investment companies (the “names rule”).

News and Events

Recent Press Releases

Dentons Paris advises Omnes Capital on fundraising and closing of its fund

October 22, 2020

Dentons Paris advised Omnes Capital during the fundraising process of the Private Equity Fund "Omnes Real Tech" and its closing. The fund raised a total of €130 million in commitments.