Recognized by Hedgeweek as
2013's Best North American Law Firm serving the hedge fund industry, Tannenbaum Helpern's has over 30 years of history advising US and offshore, registered and non-registered investment advisers and works with a leading roster of investment management firms. Tannenbaum Helpern provides clients with a cohesive, multi-disciplinary experienced legal team that combines securities, tax and future law by bridging the complex regulatory structure among the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), National Future Association (NFA) and the Financial Industry Regulatory Authority (FINRA).
Through knowledge of the regulatory structure and industry, the firm regularly advises hedge funds on regulation and registration, formation and organization of hedge fund products, swaps (ISDA) and OTC derivative matters, structured finance, collective investments, ERISA, estate planning, taxation and securities litigation and arbitration. Attorneys are mindful of potential estate planning and tax issues while structuring products for clients.
- Fund formation—Structuring of domestic and overseas collective investment vehicles
- Corporate—Mergers and acquisitions, operating agreements, divestitures, seed arrangements and consolidations
- Documentation—Preparing and negotiating private placement and other offering documentation and ancillary contracts for investment advisers, administrators and sponsors
- Regulatory—Registration of investment advisers, SEC inspections and advice with respect to SEC, CFTC, NFA, FINRA, registrations, tax matters, private letter relief and enforcement proceedings, ERISA, broker-dealer services, blue sky and compliance
- Registered products—Publicly registered investment companies under the '33 and '40 Acts and exchange traded funds
- Executive compensation—ERISA, employment agreements, profit sharing arrangements for executives and portfolio managers
- Trust & estates—Estate planning and succession planning for investment principals, GRATS, private foundations, installment sales and family partnerships
- Litigation and dispute resolution—Securities litigation, investor claims, governmental and regulatory (SEC, CFTC and FINRA) investigations, subpoenas, and directors and officers (D&O) liability matters