Our attorneys have worked with investment management clients to form hedge funds and other pooled investment vehicles. This work has included providing advice on the structure of funds, preparing formation, disclosure and offering documents, providing registration and exemption advice and compliance assistance, and offering ongoing support.
Our attorneys provide legal advice and assistance to investment management clients on a wide variety of matters, including the following:
Draft investment management agreements
Assist with the development and implementation of compliance programs and compliance reviews of clients existing programs
Review marketing and advertising materials for investment advisers and funds
Prepare formation documents for funds and their general partners
Draft disclosure and subscription materials to be given to fund participants
Advise investment adviser clients on the additional responsibilities involved in advising a mutual fund
Advise owners on ownership and succession planning issues and prepare buy-sell agreements, stockholder agreements and limited liability company operating agreements to address those issues
Prepare clients for regulatory examinations
Advise funds and advisers on exemptions from registration
Establishing IARD enablement and submitting filings
SEC and state blue sky filings
Employment and consulting agreements and related matters
Real estate leases and purchases for office space
Marketing agreements with third parties and related compliance issues
Assistance with credit facilities
Corporate governance matters
Ongoing compliance advice and assistance
Regulation D compliance
Clients of our Investment Management Group include investment advisers (both registered and unregistered), hedge funds, private (exempt) funds, and broker-dealers.
