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Registered Funds

We have a dynamic, long-standing Registered Funds Practice that encompasses all aspects of the investment management business. Our practice is multidisciplinary—it brings together such other areas as securities, mergers and acquisitions, banking, tax and ERISA.

“The [registered funds] team is extremely knowledgeable, pragmatic and technically sound. They hit the nail on the head”
Chambers USA (quoting a client)

Teaming with our colleagues in other Simpson Thacher fields, we are able to counsel a range of U.S. registered open-end and closed-end funds and their investment advisers. We also represent underwriters of securities offerings by closed-end funds and BDCs and independent directors/trustees of registered funds. We provide ongoing, strategic advice on:

  • Registered funds investing in U.S. and non-U.S. equity and debt securities and other specialized instruments, often with multi-class or master/feeder structures
  • Alternative investments, including registered funds of hedge funds
  • Capital markets transactions, including common and preferred stock offerings, note offerings and rights offerings
  • Mergers, acquisitions and restructurings, including fund consolidations
  • Status questions under the Investment Company Act of 1940
“Excellent subject matter expertise, solid inside knowledge with SEC staff, and not afraid to make risk-based analyses.”
Chambers USA (quoting a client)

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