MFA Legal & Compliance 2022
May 23, 2022
The Plaza - Fifth Avenue at Central Park South – New York, NY
BofA Securities offers a premier futures, options, and OTC derivatives platform. We are an industry leader in direct exchange memberships and also provide access via third-party relationships. Our 24-hour execution desk in Chicago provides clients a single access point for all global markets. Regional desks in New York, Montreal, London, Hong Kong, Tokyo and Mumbai enhance our client service capabilities. Our electronic trading suite syncs with a wide variety of client front ends offering direct access to 38 exchanges, along with advanced trading algorithms. We have been at the forefront of the new era of OTC derivatives clearing. Our OTC service offering includes derivatives intermediation, cross margining, world class reporting and reconciliation, leading collateral optimization technology, and allocation processing across multiple accounts on a single multi-market and multi-asset platform.
Learn more at https://business.bofa.com/content/boaml/en_us/home.html
Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group.
Our purpose is creating opportunities to rise. We support sustainable and inclusive growth by connecting the ideas, innovations and aspirations of our customers and clients to the capital that can bring them to life. For over 325 years we have funded progress, and today we remain committed to helping make our world more sustainable, more inclusive and more connected.
Learn more at https://www.cib.barclays/
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. To learn more, visit gs.com.
HSBC Global Banking and Markets is an emerging markets-led and financing-focused business that provides tailored financial solutions to major government, corporate and institutional clients worldwide.
Global Banking and Markets has offices in more than 60 countries and territories. Managed as a global business, we offer clients geographic reach and deep local knowledge.
Our clients are served by teams that bring together relationship managers and product specialists to develop financial solutions that meet individual client needs.
Our Client-focused business lines deliver a full range of banking capabilities:
– Investment banking and financing solutions, including corporate banking, investment banking, and leveraged acquisition finance.
– Global transaction banking services, including trade services, global liquidity and cash management, and securities services.
– One of the largest markets businesses of its kind, with 24-hour coverage and knowledge of local markets and providing services in credit and rates, foreign exchange and money markets.
– Global asset management solutions for institutions, financial intermediaries and private investors worldwide.
– A broad range of research services including macro, sector and company coverage complemented by trading ideas and strategies.
Learn more at https://www.gbm.hsbc.com/
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and securities services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $32 trillion of assets under custody and $714 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world. Further information about J.P. Morgan is available at www.jpmorgan.com.
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing investment banking, securities, investment management and wealth management services. With offices in more than 43 countries, the Firm’s employees serve clients worldwide including corporations, governments, institutions and individuals.
Learn more at https://www.morganstanley.com/
Wells Fargo Prime Services, offers a comprehensive set of services and solutions for alternative asset managers. With a strong focus toward servicing our customers, we help managers meet their operational and financial goals with integrated financing, technology and operational solutions as well as capital introduction, business consulting, risk services and bespoke financing solutions.
As part of Wells Fargo, one of the strongest and best-capitalized banks in the world, we deliver the full resources of a best-in-class financial institution to help managers capture market opportunities and become efficient while growing assets. Our multi-asset class platform delivers critical financing, execution and clearing services while our hands-on service model provides the foundation for partnership.
Akin Gump Strauss Hauer & Feld LLP is one of the world’s largest law firms. A frequent recipient of industry recognition for its strength in litigation and high-stakes appellate work, its leadership in groundbreaking transactions and its depth in public policy, Akin Gump provides a comprehensive suite of services for global companies and local individuals. Our team of litigators, dealmakers, and policy lawyers and advisors collaborate with a single goal: the success of our clients.
Learn more at https://www.akingump.com/en/
With more than 100 of our 350 attorneys dedicated to serving fund and investor clients, our Investment Management Group is a leader in the United States, distinguished for our client service.
Our global clients include investment funds and advisers, emerging managers, some of the largest and best known asset managers with AUM in the tens of billions and a range of structures and strategies.
Our core services include:
- Fund Formation and Structuring
- Family Office
- Regulatory and Compliance
- Derivatives and Structured Products
- Private Equity, M&A, Debt Financing
- Securities and Capital Markets Litigation
- Tax, T&E, ERISA, Employment, IP, Insurance
Learn more at https://www.lowenstein.com/
Proskauer’s Investment Management Practice
Proskauer offers a full suite of services for the investment management industry, with a market-leading global team dedicated solely to advising hedge fund, private equity and other asset managers, investment fund sponsors, financial institutions and institutional investors. The cross border team of 190+ lawyers is based in the U.S., UK, Asia and Latin America and includes specialists in tax, ERISA, regulation, financial services, capital markets, M&A, employment, insurance, fund finance, litigation and risk management who understand the unique technical and commercial issues relevant to investment managers.
Proskauer’s broad experience advising private fund managers extends across the asset classes including hedge fund, credit, private equity, growth equity/venture capital, real estate and infrastructure strategies, in the formation of U.S. and non-U.S. investment funds, funds-of-funds and managed account platforms. The Firm advises on a variety of matters, including fund structuring and formation, seed investments, management company matters, investment adviser registration and compliance, portfolio management, regulatory examinations, litigation and complex restructurings, secondary transactions and other corporate transactions.
Learn more at https://www.proskauer.com/practices/hedge-funds
Ropes & Gray is a preeminent global law firm with approximately 1,400 lawyers and legal professionals serving clients in major centers of business, finance, technology and government. The firm has offices in New York, Boston, Washington, D.C., Chicago, Los Angeles, San Francisco, Silicon Valley, London, Hong Kong, Shanghai, Tokyo and Seoul, and has consistently been recognized for its leading practices in many areas, including private equity, M&A, finance, asset management, real estate, tax, antitrust, life sciences, health care, intellectual property, litigation & enforcement, privacy & cybersecurity, and business restructuring. Learn more at https://www.ropesgray.com/en/practices/hedge-funds.
Schulte Roth & Zabel LLP (SRZ) is a full-service law firm with offices in New York, Washington, DC and London. A pioneer in the alternative investment management industry, SRZ has been advising private investment funds for more than 50 years. SRZ has across-the-board expertise in all strategies, including credit and direct lending funds, hedge, private equity, CLOs, specialty finance, long/short equity, global macro, activist, blockchain technology, digital assets, litigation finance, LBO, distressed, real estate and venture, among others. SRZ has the largest and most comprehensive regulatory and compliance practice in the asset management space. The lawyers advise managers on running their businesses consistent with applicable laws, regulations and legal requirements, in addition to counseling on SEC registration, examination and enforcement matters.
Learn more at https://www.srz.com/
WilmerHale is a leading, full-service international law firm with 1,000 lawyers located throughout 13 offices in the United States, Europe and Asia. Investment advisers, fund sponsors, registered investment companies and their directors turn to us for advice on their most sensitive and complex regulatory, structuring, litigation, enforcement and transactional challenges. Drawing on our extensive, hands-on regulatory and in-house experience, we advise clients on the full range of legal, regulatory and compliance issues affecting the investment management industry. We have helped advisers, funds and directors navigate matters relating to nuanced regulatory issues; product development and new fund launches; director and adviser fiduciary duties; fund operations; fund distribution, including intermediary relationships and share class structure; compliance programs; fund adoptions and restructurings; and mergers and sales of funds and their advisers, among many other issues. Our team also has extensive experience representing funds and advisers in enforcement and litigation matters with the SEC, CFTC and other regulators. Learn more at https://www.wilmerhale.com/en.
ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
Learn more at www.acaglobal.com
With nearly 1,000 lawyers practicing in 14 offices around the globe, Arnold & Porter serves clients across 40 distinct practice areas. The firm offers 100 years of renowned regulatory expertise, sophisticated transactional and litigation and practices, and leading multidisciplinary offerings in the financial services and life sciences industries. Our lawyers practice across various practice areas—including antitrust, bankruptcy, corporate finance, intellectual property, legislative and public policy, litigation, real estate, regulatory and tax—to help clients with compound needs stay ahead of the global market, anticipate opportunities and address issues that impact the very value of their businesses. Immediately accessible and industry knowledgeable, we offer our clients practical, business-savvy solutions that resolve their complex US, international and cross-border legal needs.
Learn more at https://www.arnoldporter.com/en/
Katten is a full-service law firm with nearly 700 attorneys in locations across the United States and in London and Shanghai. Clients seeking sophisticated, high-value legal services turn to Katten for counsel locally, nationally and internationally. The firm’s core areas of practice include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth. Katten represents public and private companies in numerous industries, as well as a number of government and nonprofit organizations and individuals. For more information, visit katten.com.
Kramer Levin’s lawyers are at the forefront of advising private funds and public funds and their managers and directors, helping them to devise novel solutions to complex issues and utilizing innovative structures, techniques and strategies to optimize their success in the marketplace. The firm is headquartered in New York with offices in Silicon Valley, Washington, DC, and Paris and fosters a strong culture of involvement in public and community service. Learn more at https://www.kramerlevin.com.
At Morgan Lewis, we partner with clients to understand their needs and craft powerful solutions for them. Our team encompasses more than 2,200 legal professionals, including lawyers, patent agents, employee benefits advisers, regulatory scientists, and other specialists, working together across 31 offices in North America, Asia, Europe, and the Middle East. We provide comprehensive corporate, regulatory, transactional, litigation, restructuring, employment and benefits, and intellectual property services in all major industries, helping clients address and anticipate challenges across vast and rapidly changing landscapes.
Learn more at https://www.morganlewis.com/
Seward & Kissel is home to one of the largest investment management practices. The Firm is recognized for its work with private investment funds, including U.S. and offshore open and closed end funds. Our clients represent some of the largest institutional private fund managers, as well as start-up and emerging managers across all asset classes and strategies. We draw on our extensive experience and industry contacts to help our clients achieve practical business solutions within a complex legal and regulatory framework.
In addition to the Investment Management practice, Seward & Kissel provides full-service guidance on tax, ERISA, litigation, employment, trademark, bankruptcy, trusts & estates, corporate finance, capital markets, derivatives, commodities, business transactions and real estate matters. The Firm advises our clients with respect to numerous types of investment opportunities, including private equity, private debt and other business transactions; structured finance deals; distressed debt transactions; and activist investor plays.
Our attorneys have significant regulatory and government investigation, enforcement and litigation experience and offer solutions to examinations and matters before the SEC, FINRA, Department of Justice and state regulators.
Learn more at https://www.sewkis.com/
With a practice highly attuned to the ever-changing international legal landscape, Sidley has built a reputation for being a powerful legal adviser for global businesses. With more than 2,000 lawyers across 20 offices worldwide, Sidley maintains a commitment to providing quality legal services and to offering advice in litigation, transactional and regulatory matters spanning virtually every area of law. Our highly regarded broad transactional practice disciplines include capital markets, mergers and acquisitions, private equity, structured finance and securitization, intellectual property, funds and other pooled investments, restructuring, bank and commercial lending, public finance, real estate, tax and employee benefits, as well as trusts and estates. Sidley’s extensive litigation experience includes general and commercial litigation, regulatory and financial litigation, antitrust, white collar criminal defense, food and drug, healthcare, patent and other intellectual property litigation, product liability and mass tort litigation, international commercial arbitration and dispute resolution, and international trade law. Our offices are found in Beijing, Boston, Brussels, Century City, Chicago, Dallas, Geneva, Hong Kong, Houston, London, Los Angeles, Munich, New York, Palo Alto, San Francisco, Shanghai, Singapore, Sydney, Tokyo and Washington, D.C. Attorney Advertising. Prior results do not guarantee a similar outcome.
Learn more at https://www.sidley.com/en/us/
SecuritiesTracker: The Most Comprehensive Solution Available for Shareholder Litigation Analysis and Claims Filing
First introduced in 2003, the SecuritiesTracker platform has evolved into the most advanced and comprehensive global portfolio monitoring and claims filing service available to institutional investors. Competitive service offerings are limited in what they are capable of or permitted to provide because they are not law firms. In contrast, SecuritiesTracker–which is backed and supported by the vast resources of one of the largest and most successful law firms that specializes in shareholder litigation–provides the legal analysis and recommendations on how to proceed with global opt-in and opt-out litigation that other claims filing services cannot.
SecuritiesTracker actively guides and assists institutional investors with the identification, evaluation, analysis, management, and monetization of all shareholder claims and actions filed in every jurisdiction around the world. All alerts, reports, memos, guidance and filings generated by SecuritiesTracker are the product of many years’ experience, expertise and relationships of a law firm that prosecutes shareholder actions globally. Because it is the most comprehensive and cost-competitive platform available, which taps into its own in-house analysts, investigators and litigators to provide detailed legal analyses and recommendations for how best to maximize recoveries for clients, institutional investors everywhere–including mutual fund managers, asset managers, hedge funds, pension funds, sovereign wealth funds, and insurance companies–are switching to SecuritiesTracker to monitor and manage all of their shareholder litigation needs at a fraction of the cost of other providers. Institutional investors with over $8 trillion in AUM have come to rely on the SecuritiesTracker platform to fulfill all of their fiduciary obligations related to protecting assets.
Learn more at https://www.securitiestracker.com/