Comprising leading financial regulatory and investment management attorneys, our team advises a wide range of clients who either offer or deal with investment opportunities and products. We craft and implement compliance solutions for an investment company, investment adviser and broker-dealer regulatory issues and related issues affecting banks, trust companies, pension funds and a host of investment and financial products.
Our team is actively involved in the establishment and day-to-day operations and activities of both investment funds and investment advisors. For funds, we design sophisticated investment vehicles for private funds to invest in public companies and pooled investment structures for direct or venture capital investments. For advisors, we assist in the establishment and initial registration with regulatory authorities and oversee acquisitions of other advisory businesses.
Finally, whether funds or advisors, our clients benefit from our team’s deep familiarity with the statutes and regulations directly affecting their businesses, including the Securities Act and Securities Exchange Act, the Investment Company Act, and their state or “blue sky” counterparts.
Service Area Contacts
SPACS – Is the Party Over?
May 10, 2021 | Blogs
The boom in special purpose acquisition company (SPAC) IPOs continued at its record pace during the ...
Operational Considerations for Implementation of the California Commercial Lender Disclosure Law
May 5, 2021 | Blogs
On April 7, 2021, the Department of Financial Protection and Innovation (DFPI) published revised reg...
Webinar: Key Banking and Credit Card Processing Issues All Hemp Businesses Must Get Right
April 6, 2021 | Blogs
Hemp and CBD businesses continue to face challenges with banking, credit card processing and other f...
Blockchain and Art Provenance: Five Data Privacy Challenges
March 18, 2021 | Blogs
Distributed ledger technologies (DLTs) are becoming more prominent with applications across supply c...
The Corporate Transparency Act: Targeting Shell Companies or Small Businesses?
January 28, 2021 | Blogs
A new requirement has been imposed upon businesses within the massive National Defense Authorization...
Flattening the COVID-19 Private Equity Curve (Updated April 9, 2020)
April 9, 2020 | Blogs
Private Equity encompasses far more aspects of business than many realize, including securities, inv...