Services:
- Starting a new fund, both domestic and offshore
- Partnership or other agreements
- Investment management agreements
- Private placement memoranda and other private offering documents
- Subscription agreements and related investor questionnaires
- Privacy documents
- Federal and state regulatory filings
- Broker-dealer and investment adviser regulation
- Compliance with regulatory responsibilities
- The Securities Act of 1933
- The Securities Exchange Act of 1934 (including Section 13 and Section 16 issues)
- The Investment Company Act of 1940
- The Investment Advisers Act of 1940
- The Commodity Exchange Act and NFA requirements
- Blue Sky (state) regulations
- FINRA compliance
- The USA PATRIOT Act and anti-money laundering rules
- The Gramm-Leach-Bliley Act and related privacy laws
- The Internal Revenue Code
- Regulations and requirements of various offshore jurisdictions
- Acquisitions and dispositions of investments, including restricted securities
- Private equity investments
- Tax and ERISA advice
- Soft dollar practices
- Trading issues, margin rules, and short sales
- Marketing and third party marketing arrangements
- Managing conflicts of interest
- Personnel issues
- Intellectual property
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See also:
Clients in the investment management and financial services industries require counseling at the speed at which they do business. Attorneys in our Investment Management Group provide the highest levels of responsiveness and solutions that are creative yet practical, innovative yet proven. Our worldwide clientele includes more than 200 domestic and international investment funds, with assets under management ranging from $25 million to more than $30 billion.
The members the Investment Management Group include a former general counsel for a family of funds and a leader in investment management law as recognized by Chambers USA: America’s Leading Lawyers for Business, Legal 500, Lawdragon and Super Lawyers, and innovators in the field.
We advise full-service investment management firms and broker-dealers, as well as individual funds that focus on either public or private equity investments, on matters ranging from astructure and organization, thorough regulatory and administrative compliance, marketing, conflicts of interest, taxation, employee benefits, and intellectual property. Our broad industry participation helps us recognize how important trends in the markets and industries impact a fund’s organization, operation, marketing, and profitability.
Practice Details
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