Legal Experts in Financial Services

Our team has extensive experience working with Hedge and Private Equity Funds, Investment Companies, Registered Investment Advisors, Domestic and Offshore Entities, Separate Accounts, Fund of Funds and FINRA Registered Broker-Dealers. We have a working knowledge of

  • The Investment Company Act of 1940
  • The Investment Advisers Act of 1940
  • ERISA regulations
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • The Securities Act of 1933
  • The Securities Exchange Act of 1934
  • FINRA, NYSE, AMEX and SEC regulations

Our financial services experience also includes

  • ADRs
  • Derivatives and the ISDA standards and documentation
  • New SEC/CFTC regulations pertaining to derivatives reporting
  • Structured Finance
  • Special Purpose Vehicles
  • Repurchase Agreements
  • Secured Lending
  • Custodial and Escrow Agent Agreements
  • Prime Brokerage Agreements