OUR PEOPLE SERVICES PUBLICATIONS APPROACH JOIN US PRACTICE INVESTMENT MANAGEMENT LITIGATION OVERVIEW PUBLICATIONS NEWS CONTACTS RELATED PRACTICES Mutual funds continue to face increased scrutiny from government regulators, and having a partner who understands those challenges can make or break your bottom line. Goodwin is one of only a few firms that combines a nationally-recognized investment management counseling and transactional practice with a pre-eminent mutual fund litigation practice. This collaboration enables us to defend our investment management clients in all phases of litigation with a thorough understanding of their businesses, the markets in which they participate, and the complex regulatory environment in which they operate. We have deep and broad experience working with all types of participants in the investment management industry, including investment advisers, mutual funds, independent trustees, retirement plan sponsors and other service providers. Our clients range from many of the largest and most prominent industry participants managing trillions of dollars in assets to smaller entities and individuals. We have successfully terminated a number of lawsuits on dispositive motion before plaintiffs can escalate costs and divert resources and attention through lengthy discovery. In other instances, we have litigated disputes to a strategic advantage from which we have been able to negotiate favorable resolutions, including walkaways and settlements for less than future litigation costs. Representative Matters We represent clients in proceedings arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, other federal securities laws, ERISA, state law and other regulatory regimes. We handle class actions, shareholder derivative suits and private disputes in federal and state trial and appellate courts throughout the country. We guide our clients through regulatory investigations and enforcement actions by the DOJ, SEC, DOL, CFTC, FINRA, various state attorneys general, state securities regulators and federal and state banking authorities. We investigate shareholder demands on behalf of fund boards and their independent trustees or special committees. Our litigation strategies have resulted in a number of important precedents under the Investment Company Act, other securities laws and ERISA that protect both our clients and their industry peers. Chambers USA Ranked a leading nationwide firm by Chambers USA Chambers USA Ranked as top Investment Fund and Financial Services Litigation practices. Legal 500 Ranked as top Investment Fund and Financial Services Litigation practices. PUBLICATIONS Weekly RoundUp CFPB To Revisit Trump-Era QM Final Rules February 24, 2021 Weekly RoundUp SEC Issues No-Action Relief On Registered Funds’ Custody Of Loan Interests February 12, 2021 Weekly RoundUp OCC Delays Publication Of Trump Administration “Fair Access” Rule February 04, 2021 Weekly RoundUp Biden Administration Issues Regulatory Freeze On New Agency Rules January 28, 2021 View More NEWS 20 JUL SEC Updates Regulatory Framework for Good Faith Determinations of Fair Value (Journal of Investment Compliance) View More 16 JUN The Legal 500 US 2020 Names Goodwin a Top-Tier Firm for Technology Transactions View More 26 AUG Investment Company Act Circuit Split Exposes Mutual Funds (Law360) View More 30 MAY The Legal 500 United States 2019 Recognizes 195 Goodwin Lawyers and 41 Practice Groups View More View More News CONTACTS View Bio Charles A. Brown Partner Email New York +1 212 459 7231 View Bio Michael K. Isenman Partner Email Washington, DC +1 202 346 4229 View Bio Oliver Glynn-Jones Partner Email London +44 (0) 20 7447 4254 View Bio Anne E. Railton Partner Email New York +1 212 459 7434 Meet The Team RELATED PRACTICES INVESTMENT MANAGEMENT FINANCIAL INDUSTRY ERISA LITIGATION A B C D E F G H I L M N O P R S T U V W A Agribusiness Antitrust + Competition Antitrust Services for Life Sciences Companies Appellate and Supreme Court Litigation Artificial Intelligence + Machine Learning B Banking Business + Commercial Litigation Buyouts + Acquisitions C Cannabis Capital Markets China Class Actions CleanTech Complex Litigation + Dispute Resolution Consumer Financial Services Consumer Financial Services Enforcement + Government Investigations Consumer Financial Services Litigation Copyrights Crowdfunding D Data + Privacy + Cybersecurity Debt Capital Markets Debt Finance Derivatives Digital Currency + Blockchain Technology Digital Health Direct Listings Distressed Real Estate E Employment Environmental ERISA + Executive Compensation ERISA Litigation ESG + Impact Europe F Fair + Responsible Lending False Claims Act FDA FDA Litigation Financial Industry Financial Industry Advisory Services Financial Industry Litigation Financial Industry Transactional Services Financial Restructuring Fintech Food + Healthy Living Foreign Corrupt Practices Act G Gaming + Gambling Global Trade Government Investigations + Enforcement Growth Equity H Hatch-Waxman, Biologics and Biosimilars Litigation Healthcare Healthcare Investigations Healthcare Litigation Healthcare Regulatory Healthcare Services Hedge Funds Higher Education Hospitality + Leisure I India Insurance Investment Management Investment Management Litigation Israel ITC 337 Proceedings L Late Stage Drug Development Leasing Life Sciences Life Sciences Asia Life Sciences Collaborations + Licensing Life Sciences Emerging Companies Life Sciences Europe Life Sciences IPOs + Capital Markets Life Sciences M + A Life Sciences Patent Prosecution + Counseling Life Sciences Securities Litigation + Healthcare Fraud M Medtech Mergers + Acquisitions Mining Mortgage Banking N New Company Formation O Opinions + Counseling P Patent Litigation Patent Prosecution + Counseling Patent Trial + Appeal Board Pharmaceuticals Private Equity Private Equity Asia Private Equity France Private Equity Germany Private Equity UK Private Equity US East Coast Private Equity US West Coast Private Investment Funds Products Litigation and Counseling Proposition 65 + Food Labeling Litigation Propsci Proptech Public Company Advisory R Real Estate Acquisitions + Dispositions Real Estate Design + Construction Real Estate Development + Permitting Real Estate Dispute Resolution Real Estate Finance + Restructurings Real Estate Industry Real Estate Investment Funds Real Estate Joint Ventures Real Estate Tax REITs and Real Estate M+A Risk Management + Insurance S Search Funds Secondaries Securities + Shareholder Litigation Shareholder Activism Special Purpose Acquisition Companies (SPACs) State Attorneys General Strategic Technology Transactions and Licensing T Tax Tax-Exempt Organizations Technology Technology Europe Technology M+A Trade Secrets, Employee Mobility + Non-Competes Trademarks Transportation Trusts + Estate Court Practice Trusts + Estate Planning Trusts + Estate Planning Advisory Services U United States V Venture Capital Venture Capital + Private Equity Funds W White Collar Defense Women's Health + Wellness VISITING GOODWIN YOU@GOODWIN ATTORNEY ADVERTISING LEGAL NOTICES PRIVACY POLICY COOKIE POLICY SECURE LOGIN SITE MAP Sign Up For Goodwin Updates Copyright © 2021 Goodwin Procter LLP By clicking “Accept All Cookies”, you agree to the storing of first and third party cookies on your device to enhance site navigation, analyze site usage, enable social media features and assist in our marketing efforts. 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