Singhania and Company LLP, Advocates and Solicitors

Investment Management

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The professional management of assets, such as real estate, and securities, such as equities, bond and other debt instruments, is called investment management. Investment management services are sought by investors, which could be banks, companies, insurance firms or individuals, with the purpose of meeting stated financial goals. The need for investment management arises due to:
  • The existence of a large number of complex financial products.
  • Financial market volatility.
  • Changes in regulatory requirements.

Our investment practice attorneys have knowledge and experience with the provisions of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other regulatory provisions, which apply to investment companies and other participants in the investment management industry.

Our Services include:
  • Design of mutual fund and variable annuity and life insurance products for sale at retail or in private placements, and the structuring of distribution and other business arrangements for these products.
  • Compliance issues under federal and state securities laws and, where applicable, ERISA and tax and insurance laws in connection with the design and distribution of investment products.
  • Formation of business entities.
  • Registration statements for investment companies and investment advisers and for issuances of securities under the federal securities laws.
  • Exemptive relief from regulatory requirements by means of formal applications to accommodate innovative approaches to the provision of investment services.
  • Agreements among participants in investment services programs for investment advisory, transfer agent, distribution, custodian, administrative and other services.
  • Sales literature preparation, regulatory compliance and use.
  • Mergers and other reorganizations of mutual funds, insurance company separate accounts and other participants in the investment services industry.

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