Securities Law

Gavel on laptop computer keyboard

Investment Management

We have experience organizing and structuring investment vehicles such as hedge funds, private funds and offshore funds.  We prepare offering documents, subscription agreements, investor questionnaires, service provider agreements.  We provide compliance advice on private fund issuance.  We can also advise individual investors of their rights in connection with securities purchases and sales.

We offer services to investment advisers as a major component of our practice.  We counsel investment advisers on the rules and regulations applicable to their business. We provide advice on formation, and registration requirements for various jurisdictions, draft and review investment advisory, sub-advisory, wrap fee and solicitor, investment adviser representative, and other service provider agreements. We can draft and review registration documents (Form ADV), customize compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, and assist with regulatory issues, including registration of investment adviser representatives and communication with regulators.  

Our network of established professionals includes former regulators, consultants and other compliance professionals.