Practice Areas

Institutional Asset Servicing involves the integration of a range of substantive laws and regulations, as they impact the holding and administration of investments, with a knowledge of related industry practices — including:

  • Banking Laws and Regulations
  • ERISA Title I (Fiduciary Matters)
  • Mutual Fund (40’s Act Custody and Administration)
  • Bank Collective Funds
  • Commodities Futures Trading
  • Prime Brokerage
  • Derivatives / ISDA
  • Sarbanes Oxley
  • US Patriot Act
  • Contracts
  • Accounting (FASB Rules; Pricing Issues/Methods)

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