Ongoing Emmes Capital LLC - Regulatory Advice Representation of Emmes Capital LLC in connection with regulatory advice with respect to investment advisor, commodity trading, swaps and Dodd-Frank regulations.
2012 Investment Advisor - Regulatory Advice Representation of multi-billion dollar registered investment adviser in in connection with its re-evaluation of regulatory compliance mechanisms to accommodate investment advisory clients subject to ERISA.
2012 MEAG Munich - Regulatory Advice Representation of MEAG Munich, the European-based investment advisory arm of Munich Re, in connection with regulatory advice regarding traders under the U.S. Securities Exchange Act.
Ongoing Registration of Real Estate Fund Managers Comprehensive regulatory advice to a platform of real estate advisory entities with respect to registration obligations and related compliance issues under the new Dodd-Frank requirements for investment advisers.
2008 Private Equity Fund - Music Industry Deal Restructuring Representation of a private equity fund in the comprehensive restructuring of the acquisition financing for a music catalog. The restructuring involves the purchase of a music catalog in satisfaction of acquisition financing obligations, and also the funding of a music developer's participation in a new joint venture.
2006 Global Brokerage Firm - Proposed $100 Million Acquisition Representation of a global brokerage firm in its proposed $100 million acquisition of a New York-based brokerage firm. Both were registered broker-dealers and the transaction featured broker-dealer regulation and compliance issues, NASD (now FINRA) issues, and Hart-Scott-Rodino compliance.
2005 Private Equity Fund - Hedge Fund Loan Representation of a private equity fund in making a loan to a hedge fund for liquidity purposes, secured by the hedge fund’s securities portfolio.
2005 Hedge Fund - Distressed CDO Acquisition Representation of a hedge fund in its accumulation of a controlling position in the securities of a financially stressed CDO, and in the subsequent liquidation of the CDO.