Financial Services, Asset Management, Regulatory

Our lawyers have significant technical expertise in financial markets and international securities regulation.   We can assist you in understanding financial products and instruments, the specific rules and agencies that govern them, and the changing regulatory landscape.

We provide advice helping to manage corporate governance, financial disclosure and reporting, litigation matters, internal investigations conducted by boards of directors and audit committees, and securities issues, delivering high-value counsel to our client base.

We have represented a large number of investment firms, banks, insurance companies, hedge funds, and private equity firms, both public and private, and represented funds, managers, investors, brokers, and other market participants.

We offer guidance on regulatory matters relating to:

• The establishment of domestic and offshore funds
• Venture capital and fundraising
• SEC, federal and state securities law regulation, governance, and compliance
• Investment company matters for both registered and unregistered firms