Financial Services, Private Funds and Capital Markets
Tannenbaum Helpern's Financial Services, Private Funds and Capital Markets Department possesses skills, creativity and expertise in the rapidly evolving area of specialized capital formation through collective investment arrangements, onshore and offshore private funds, securities, futures, swaps, derivatives and options and customized arrangements and structured finance products.
We are currently counsel to numerous domestic and foreign investment advisors and collective investment vehicles. Our goal is to deliver to our clients efficient service in connection with both initial and ongoing investment structuring using U.S. and foreign entities and configurations. We are mindful of potential estate planning and tax issues while structuring products for our clients. This group effectively combines securities, tax and futures law by bridging the complex regulatory structure among the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) and Financial Industry Regulatory Authority, Inc. (FINRA). Through knowledge of the regulatory structure, the industry and government officials, the Department assists in representing clients in transactional matters, collective investments, litigation, arbitration and regulatory problems.
- Domestic and offshore collective investment vehicles for transactions involving investments in equity futures debt, bonds, currencies, venture capital, real estate and others or a combination of each, with particular reference to the regulatory hurdles facing professional advisors in this area
- Master feeder funds, umbrella funds, class funds, Private funds, funds of funds, rated products, and funds exempt under Rules 3(c)1 and 3(c)7 of the Investment Company Act of 1940, as amended.
- Facilitating establishment and structuring of off-shore companies, unit trusts, limited partnerships and limited duration companies in various Caribbean and European jurisdictions including UCITS qualified jurisdictions and stock exchange listings in Ireland and a variety of jurisdictions.
- Private placement and other offering memoranda, disclosure documents and ancillary contracts for investment advisors, administrators, sponsors, investment companies and CTAs and CPOs.
- Structured finance arrangements requiring a mixture of secured notes and equity tranches to meet economic and regulatory needs of banks and insurance companies and other potential investors. Loan participation funds and similar asset class products.
- New developments relating to the use of the internet by Private fund operators, traders and industry participants.
- Review of marketing and advertising materials.
- SEC, CFTC, NFA, and FINRA registrations, private letter relief and enforcement proceedings, broker-dealer services, investment adviser and investment company services, and continuing federal and state securities law compliance.
- International and private banks, insurance companies and funds of all sorts
- Fund sponsors and asset allocators
- Asset managers and investment advisors
- Brokerage firms and their employees and administrators
- Multi-national commodity trading advisors and pool operators and securities fund managers and cash market managers
- Funds seeking to market within the European Union that need advice regarding stock exchange listings in Dublin and elsewhere.
- Family office structuring to meet regulatory requirements and organizational structures.