INVESTMENT FUNDS AND ADVISERS
Our Private Investment Fund/Investment Advisory Group is a nationally recognized leader in the following areas:
- Hedge Funds
- Commodity Pools
- Offshore Funds
- Private Equity Funds
Investment Adviser Registration and Counseling
Our firm represents more than 300 investment advisers and investment fund managers.
We seek the most economical and effective representation for each client, taking care to avoid overstaffing and to focus on procedures that effectively move each matter toward a favorable resolution. Our extensive experience in representing investment advisers and private investment funds affords us significant economies of scale and the background to respond to most legal issues without time-consuming and costly research and analysis.
To keep our investment adviser clients current on regulatory developments and pronouncements (in part by frequent memoranda and notices), we continuously monitor state and federal regulatory developments. Our awareness of the regulatory climate permits us to keep our clients advised of ways in which their businesses can be operated most efficiently, economically and with minimum distraction from portfolio management.
Our representation of investment advisers encompasses all aspects of their businesses, including initial organization, capitalization, employee incentive arrangements, trade name protection, licensing, on-going regulatory compliance (both federal and state), contract negotiation and forms for retail and institutional investors, custodians and broker-dealers, and organization and operation of hedge funds and other investment pools. Those activities necessitate comprehensive expertise in the complex and evolving requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, the Commodity Exchange Act, the Internal Revenue Code of 1986 and other relevant federal laws, and the volumes of rules and regulations of the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, Internal Revenue Service and Department of Labor, as well as myriad comparable (but differing) requirements of state laws and regulations. The breadth and depth of our experience provide the background to coordinate the various legal requirements, and to guide our clients through the labyrinth of competing or conflicting rules.
Our Securities Enforcement Defense Group represents public companies, investment advisers, broker-dealers and other financial services professionals, investors and company insiders in regulatory and civil investigations and proceedings of all types. Three of the group’s attorneys worked as enforcement attorneys for the SEC before joining us.