MFA Legal & Compliance 2023

As a preeminent legal beacon, Akin Gump Strauss Hauer & Feld LLP proudly ranks among the world’s foremost law firms. Garnering industry accolades for its litigation prowess, expertise in high-stakes appellate cases, and innovative leadership in transformative transactions and public policy, Akin Gump offers an all-encompassing suite of services to a diverse clientele—ranging from global enterprises to esteemed individuals. Our distinguished litigators, dealmakers, and policy experts unite with unwavering dedication to a noble mission: the success and prosperity of our clients.

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/

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.

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.

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.

https://www.wellsfargo.com/com/securities/markets/equity-sales/prime-services/

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
• Broker-Dealer
• 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 leading global law firm with over 1,500 professionals and offices in New York, Boston, Chicago, San Francisco, Washington, D.C., Silicon Valley, Los Angeles, London, Dublin, Hong Kong, Shanghai, Tokyo and Seoul. We represent interests across a broad spectrum of industries and businesses and have market-leading positions in, among others, investment management/registered funds, hedge funds, private funds, derivatives & commodities, regulatory compliance, mergers & acquisitions, private equity, health care and life sciences, finance, special situations, retail and consumer brands, intellectual property, privacy & data security, litigation, government enforcement and tax.

Ropes & Gray’s reputation for exceptional client service and culture of collaboration are the result of a foundation of over 155 years of dedication to forging and maintaining strong client relationships. We pride ourselves on our long-term relationships with clients, and offer lifecycle services that extend from the conception of a business idea, through growth phases, maturity, and beyond, to see our clients established as leaders in their industry.

More than 300 Ropes & Gray partners, counsel and associates in our asset management practice focus on advising a global client base of asset management firms, including fund sponsors, investors, and investment advisers, on all aspects of their business. Our experience across the entire spectrum of private and registered fund structures and vehicles, investment strategies, asset types and industries allows us to identify significant commercial, regulatory and economic issues, understand emerging trends and craft innovative solutions that are unique to the concerns of clients throughout the industry and in jurisdictions around the world. We are the only firm ranked nationally by Chambers USA 2022 in the top two bands for each of private funds, hedge funds, registered funds and regulatory compliance. We are also ranked in the Legal 500 UK, Chambers Global and Chambers Asia for fund formation.

ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower clients to reimagine GRC and protect and grow their business. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® regulatory technology platform with the specialized expertise of former regulators and practitioners and a deep understanding of the global regulatory landscape.

Davis Polk & Wardwell LLP (including its associated entities) is an elite global law firm with world-class practices across the board. Industry-leading companies and global financial institutions know they can rely on us for their most challenging legal and business matters. The firm’s top-flight capabilities are grounded in a distinguished history of 170 years, and our global, forward-looking focus is supported by offices strategically located in the world’s key financial centers and political capitals. More than 1,000 lawyers collaborate seamlessly across practice groups and geographies to provide clients with exceptional service, sophisticated advice and creative, practical solutions. Visit davispolk.com.

Kasowitz Benson Torres LLP is a leading national law firm with a core focus on commercial litigation, complemented by its exceptionally strong bankruptcy/restructuring and real estate practices.  We have decades of experience advising asset managers and hedge funds in high-stakes litigation and crafting creative solutions for issues relating to their investments.  We handle sophisticated commercial litigation, complex financial products and securities litigation, financial restructuring and employment litigation for our hedge fund clients.  We have successfully represented hedge funds in numerous litigations, negotiations and potential disputes involving securitizations and other structured finance products. We regularly advise activist investors on complex and fast-moving investment situations, with a focus on strategic counseling and how best to position the fund for success.  We also have a strong “opt-out” class action practice, and represent a number of hedge funds and other investment managers in direct actions to recover investment losses.  Headquartered in New York City, Kasowitz also has offices in Atlanta, Denver, Houston, Los Angeles, Miami, Newark, San Francisco, Silicon Valley and Washington, DC.  For more information, please visit www.kasowitz.com.

Kramer Levin provides proactive, creative and pragmatic solutions that address today’s most challenging legal issues. The firm is headquartered in New York with offices in Silicon Valley, Washington, DC, and Paris. For more than 30 years, creditors, debtor corporations, investors, lenders and acquirers have turned to Kramer Levin to solve complicated bankruptcy and restructuring problems. We are known for guiding divergent interests toward consensual solutions and resolving matters favorably both in and out of court.

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/

UBS Investment Bank provides corporate, institutional and wealth management clients with expert advice, innovative solutions, execution and comprehensive access to international capital markets. It offers advisory services and provides in-depth cross-asset research, along with access to equities, foreign exchange, precious metals and selected rates and credit markets, through its business units, Global Banking and Global Markets. The Investment Bank is an active participant in capital markets flow activities, including sales, trading and market-making across a range of securities.

WilmerHale is a leading, full-service international law firm with more than 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.

Katten is a full-service law firm with nearly 650 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.

Described as “Wall Street’s best-kept secret” (The Legal 500: United States), Kleinberg Kaplan is a premier, full service boutique law firm that provides practical, business-minded legal counsel to investors, entrepreneurs and other industry leaders. With a national and international reputation for representation of private funds, the firm serves an impressive roster of clients, including investment funds and companies at all stages of their life cycles, as well as a wide variety of real estate investors, family offices and high-net-worth individuals. To learn more please visit www.kkwc.com.