Skip to Main Content
Our Commitment to Diversity

Portfolio Management, Trading, and Compliance

Our five decades of experience representing clients in the portfolio management, trading, and compliance aspects of their core investment management business have given us a deep understanding of the trading activities of global asset managers. We draw on the experience of our team of former regulators and general counsel to help clients develop compliance systems, conduct regulatory audits, and address problems as they develop.

These strengths allow us to provide practical guidance to clients based on a comprehensive understanding of the markets. We understand that every firm and market introduce different challenges, and we offer solutions for portfolio management controls, trade execution and soft dollar practices, valuation, insider trading, trade error resolution, and related concerns that are tailored to the trading activities of each client.

We have thorough and widespread experience with the regulation of investment management activities and regularly advise managers and fund boards on the complete range of regulatory issues and across all asset classes, including:

  • Valuation of assets
  • Private placements
  • Trade allocation and trade aggregation
  • Cross and principal trades
  • Best execution obligations (including with respect to fixed income and derivatives)
  • Soft dollar arrangements
  • Resolution of trade errors
  • Affiliated transactions
  • Proxy voting
  • Insider trading and front-running
  • Conflicts of interest
  • Information barriers
  • Custody

As an integrated global practice group, we help our clients reconcile the many issues presented by the rapidly evolving regulatory environment in the United States, Europe, and Asia, and provide practical solutions for compliance with inconsistent regulations. Our group also has extensive experience advising managers and sponsors on every aspect of separately managed account programs and model delivery programs. We also regularly advise clients regarding business practices and potential conflicts of interest that arise in diversified financial organizations that operate multiple investment teams and trade desks across different jurisdictions.

Return to top of page

Email Disclaimer

We welcome your email, but please understand that if you are not already a client of K&L Gates LLP, we cannot represent you until we confirm that doing so would not create a conflict of interest and is otherwise consistent with the policies of our firm. Accordingly, please do not include any confidential information until we verify that the firm is in a position to represent you and our engagement is confirmed in a letter. Prior to that time, there is no assurance that information you send us will be maintained as confidential. Thank you for your consideration.

Accept Cancel