Representative Matters

Hedge Funds

• Creation, documentation and offering of private investment funds.
• Acquisitions and sales of investment advisers, broker-dealers, banks and trust companies, and business units within such companies.
• Obtaining or expanding SEC registrations and state licenses, NASD membership, and CFTC and NFA registrations for broker-dealers and investment advisers.
• Obtaining exemptive orders, interpretations and no-action letters from SEC and CFTC.
• New product development and documentation, and negotiations with service providers.
• Advice on a variety of strategic initiatives with federal financial regulatory implications.
• Federal securities and bank regulatory litigation.
• Federal Securities Legislation.
• Internal investigations regarding investment and securities activities.
• Establishing, documenting, and obtaining regulatory approval for joint ventures involving investment and securities activities.
• Representing broker-dealers as placement agents.
• Developing and enhancing standard form agreements used by securities firms (investment management agreements; sub-advisory agreements; retail brokerage agreements; clearing agreements; placement agent agreements; custody agreements; M&A advisory agreements; syndicate agreements, licensing agreements; networking agreements; solicitor agreements, etc.).
• Creation and operation of common trust funds and collective funds, for banks, trust companies and investment management firms.
• Advising investment manager and broker-dealers on compliance with state and federal securities laws, federal commodities laws, SRO rules, banking laws, and margin regulations.
• Representing clients in enforcement actions and assisting clients in responding to inquiries from the examination and enforcement divisions of securities and banking regulators regarding securities activities. (Generally serving alongside litigators on substantive regulatory issues).
• Developing, enhancing, documenting and automating supervisory and compliance systems and internal policies and procedures regarding securities activities, including brokerage, private placement, investment management and trust activities.

Books

Articles

Presentations

Advisories

Multimedia

Events