Our Global Advisory team provides regulatory, global distribution, and investment
management advice to startup and established fund sponsors across the entire
private fund lifecycle, including fund formation, regulatory compliance,
government enforcement, global distribution, trading, and the ongoing operations
of funds and their sponsors.
Regulatory Compliance
We help fund sponsors understand and satisfy filing, registration, and compliance
obligations in US and non-US jurisdictions. In addition to standard regulatory
compliance matters for US investment advisers and broker-dealers, we consult on
deals that involve the acquisition of globally regulated financial services
companies, and how best to structure transactions in light of applicable
regulations. We are often called on to help clients navigate the conflicts of
interest faced by diversified, global financial services organizations and
introduced by multi-party deal structures.
Global Distribution
Fund sponsors regularly seek our assistance when assessing whether and how to market
the performance of funds and their managers, including performance of investment
professionals at prior firms. We also have significant experience providing
comprehensive advice on overlapping marketing rules (private offerings, RIA
advertising, BD sales, and non-US regulations), an area of frequent frustration for
fund managers.
Management and Operations
Drawing on decades of experience representing diverse investment managers, we provide
practical, actionable advice to fund sponsors on management issues that arise
outside the fundraising and deal making process. We have a deep understanding of
trading and execution, derivatives, performance reporting, portfolio manager
liftouts, and nearly every issue that can arise in the entire lifecycle of a private
fund manager.
