Willkie is known in the industry as the go-to firm for complex, innovative regulatory matters of fundamental importance to investment advisers, private and registered funds, and broker dealers. Our team represents some of the world’s foremost hedge funds, private equity funds, commodity pools, registered funds and broker-dealers. Clients are able to leverage Willkie’s experience in structuring and advising on the entire spectrum of investment management products and asset classes, our understanding of the commercial and business needs of clients, and our comprehensive regulatory capabilities with respect to investment advisers, CFTC-regulated entities, products and markets, broker-dealers, swaps and derivatives, self-regulatory organizations, and securities trading and markets. 

We have consistently been recognized as a preeminent asset management regulatory practice.  We have a deep bench of partners with prior experience at the U.S. Securities and Exchange Commission and decades of experience in private practice.   We regularly guide clients through a broad range of regulatory, examination, enforcement, and litigation matters, including matters that are the most novel and challenging facing our clients and the asset management industry. The size and depth of our core regulatory practice, coupled with the support of our colleagues who are leading registered and private fund, broker-dealer, ERISA, tax, insurance, commodities, and banking lawyers, ensures that we are able to provide the highest levels of client service and handle the most complex matters efficiently and effectively.

Willkie is one of only three firms ranked in Band 1 for Investment Funds: Regulatory & Compliance by Chambers USA 2023, recognizing Willkie’s “preeminent team that handles significant compliance matters involving investment funds” and commending the firm for its “expertise in issues related to the Commodity Exchange Act, Investment Advisers Act of 1940 and Investment Company Act of 1940.”


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