We advise clients on a broad spectrum of fund regulatory issues, including: (i) licensing and registration requirements, (ii) marketing and distribution issues, (iii) investor disclosures and documentation, (iv) governance (including systems and controls), (v) conflicts, (vi) regulatory compliance, and (vii) interactions with regulators.
We have experience working with a variety of clients, from first-time managers to the biggest household names. We don’t believe in one-size-fits-all legal support – the advice and guidance we deliver considers your strategy, structure, and risk appetite, ensuring it fits with your commercial goals and is proportionate to your circumstances.
Our team has substantial experience with U.S. regulations, addressing all aspects of the Investment Advisers Act, the Investment Company Act, the Securities Exchange Act, the Commodity Exchange Act, blue sky laws, and rules and regulations implemented by the SEC, CFTC, FCA, and MSRB.
We have extensive experience advising on regulatory requirements for fund managers operating in or raising capital across Europe. This includes obligations under the Alternative Investment Fund Managers Directive, the Cross-Border Distribution of Funds regulations and marketing rules, the Sustainable Finance Disclosure Regulation, and the Markets in Financial Instruments Directive. Our offices in key EU jurisdictions, along with a dedicated UK regulatory team, provide support and advice on these issues, including any UK equivalent rules introduced following the UK’s departure from the European Union.
We take the time to understand your unique circumstances, tailoring advice and strategies to ensure optimal outcomes. We work with numerous regulated and unregulated management entities across diverse industries and countries, including private fund managers of all sizes, real estate fund managers, AIFMs, municipal securities advisors, and other regulated entities.
Whether you’re structuring a real estate fund, a hedge fund, or managing an AIF, you benefit from a multi-disciplinary team: transactional, regulatory, compliance, litigation — all working together. As rules evolve, we are by your side, updating policies, training your CCO and team, and managing interactions with regulators, so that you remain compliant, resilient, and ready for what’s next.
