Practice Areas
The Securities Law Group LLP advises its clients on legal, regulatory
and business issues.
Investment Advisers
- Formation of adviser entities, including advice and guidance as to the choice of entity, organizational domicile and other business considerations
- Relationships between principals, including complex operating agreements, partnership agreements, employment agreements, buy-sell agreements, etc.
- Federal and state registration issues including registration of commodity pool operators and commodity trading advisers
- Investment advisory contracts and agreements, including
sub-advisory agreements - Compliance and regulatory matters
- Use of solicitors and compliance with the "solicitor's rule"
- Performance advertising
- Merger and acquisition transactions, including negotiation of terms, preparation of legal documentation, compliance with state and federal corporations laws and related regulatory issues
- Regulatory defense (SEC, FINRA and state compliance and enforcement matters)
Hedge Funds
- Organization of domestic funds, funds of funds, offshore funds and commodity pools utilizing a variety of structures, including stand-alone funds, master-feeder structures, side-by-side structures, mini-master structures
and fund series - Representation of fund managers across most mandates: domestic long-short equities, global equities, futures, fixed income, distressed debt, "multi-strat" and private equities
- Relationships in offshore jurisdictions including Bermuda, the Bahamas, the British Virgin Islands and the Cayman Islands
- Preparation of all governance and offering documents
- Compliance and regulatory matters for both investment funds and
commodity pools - Assistance with negotiating and documenting seed capital arrangements
- Third-party marketing and solicitation arrangements
- Performance advertising compliance and documentation
- Marketing materials and other advertising, including compliance reviews
- Section 13 and 16 compliance and compliance with comparable insider trading rules in foreign jurisdictions, e.g., Canada, etc.
