Distribution & regulatory issues

We advise clients who are structuring or promoting investment funds, or setting up structures for holding particular assets, on the optimal regulatory regime for them.  We also advise on regulatory issues affecting investment management businesses and the individuals who work for them.

Regulatory issues can be complicated, and different regulatory regimes may apply to the offering of fund securities on sale or to particular types of investments.  Our investment management team guides client's through this complex environment.

We act for a broad range of clients, ranging from start-up ventures in the hedge fund and private equity sectors, to family offices and established financial services firms such as private banks and stockbrokers. Our client base is international and the location of our offices make us well placed to advise them. We work closely with our employment and litigation colleagues when necessary.

 Recent work

  • Assisting a Swiss bank on the regulatory aspects of offering different investment products to UK-resident individuals.
  • Advising a major charity on the implications of proposals to cooperate with a financial services provider.
  • Providing guidance on a range of regulatory issues for a major US-based provider of investment services.
  • Assisting hedge fund and private equity funds in identifying and qualifying for exemption from regulation under US securities laws.
  • Assisting clients in drafting of offering materials for hedge funds and private equity funds.
  • Assisting hedge fund clients to respond to inquiries generated during routine SEC audits.

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