K&L Gates' core Financial Services practice area includes one of the largest and most experienced Investment Management groups in the United States and globally. More than 150 lawyers in offices in the United States, Europe, Australia, and Asia spend the majority of their time providing legal services to the investment management and professional investor communities. With an exceptional depth of knowledge and experience, the lawyers of K&L Gates are leading the way in assisting clients with investment management strategies.

Our clients represent a cross-section of the investment management industry, including both financial service providers, such as investment advisers, broker-dealers, banks, trust companies, and insurance companies, as well as investment vehicles and other institutional investors, such as open- and closed-end registered investment companies (and their independent directors), exchange-traded funds (ETFs), hedge funds (onshore and offshore), commodity pools, business developments companies, retirement plans (ERISA and governmental plans), and collective investment funds sponsored by banks and trust companies.

K&L Gates also works closely with public agencies in a variety of capacities and, as a result, we have a heightened sensitivity to the issues that concern government-related clients and others with significant fiduciary obligations that may be specified by state or local statutes. Additionally, many of our lawyers have substantial experience with complex commercial transactions and investment instruments, including insolvency of portfolio companies and the purchase of instruments that raise unusual legal or tax issues.

Our Securities Enforcement lawyers have extensive experience with SEC examinations of investment advisers, broker-dealers, and investment vehicles of all kinds, as well as administrative proceedings and litigation involving funds and other managed investment products and their principal service providers.

Many of our U.S. lawyers have worked at the SEC or other regulators, trade groups, or in-house positions, and our lawyers have good working relationships with senior regulatory officials and key industry leaders. We regularly serve as outside counsel to industry associations on a variety of projects, including legislative and policy matters, and are actively involved in industry developments.