Highlights

  • Over 300 investment management clients.
  • Launched over 60 funds in 2011.

Private Funds - Hedge Funds, Private Equity Funds, Real Estate Funds, Venture Capital Funds

  • Negotiated sale of multi-billion dollar hedge fund manager transaction resulting in change of control of the Company.
  • Negotiated seed deals and side letters with institutional investors.
  • Developed and launched vehicles to accommodate ERISA assets.
  • Developed structured products and SPV's for leveraged vehicles, tax efficiency and access to foreign markets.
  • Negotiated margin lock-ups and term commitments with numerous prime brokers.
  • Successfully resolved alternative investments regulatory inquiries with the SEC, the CFTC and the NFA.
  • Developed employment manuals and employment policies for hedge fund managers.

Registered Funds - '40 Act Funds, UCITS Funds

  • Advised on 40 Act fund registrations, mergers, consolidations, reorganizations and dissolutions.
  • Counseled 40 Act fund boards on fund governance matters, including approval of investment advisory contracts under Section 15(c) of the Investment Company Act.
  • Counseled on significant 40 Act fund product modifications and related proxy solicitations, including name changes, investment adviser/sub-adviser changes and material investment strategy changes.
  • Negotiated U.S. and offshore service provider agreements, including investment advisory, sub-advisory, administrator, distributor, transfer agency and custodian agreements.
  • Managed all legal aspects of launching UCITS funds in Luxembourg, passporting registration in EU jurisdictions, and registering UCITS funds in Hong Kong and Singapore.
  • Advised on distribution of offshore funds through the National Securities Clearing Corporation (NSCC).