MFA Legal & Compliance 2020
July 21 – July 22, 2020
Virtual Conference Experience
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. www.bofaml.com; email@example.com
Credit Suisse AG is one of the world’s leading financial services providers and is part of the Credit Suisse group of companies (referred to here as ‘Credit Suisse’). Our strategy builds on Credit Suisse’s core strengths: its position as a leading wealth manager, its specialist investment banking capabilities and its strong presence in our home market of Switzerland. We seek to follow a balanced approach to wealth management, aiming to capitalize on both the large pool of wealth within mature markets as well as the significant growth in wealth in Asia Pacific and other emerging markets, while also serving key developed markets with an emphasis on Switzerland. Credit Suisse employs approximately 47,860 people. The registered shares (CSGN) of Credit Suisse AG’s parent company, Credit Suisse Group AG, are listed in Switzerland and, in the form of American Depositary Shares (CS), in New York. Further information about Credit Suisse can be found at www.credit-suisse.com.
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $26 trillion of assets under custody and $485 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 https://www.jpmorgan.com.
Kramer Levin represents managers of private funds and public alternative funds, as well as the funds themselves, in all aspects of their business, including fund formation and regulatory compliance; transactional matters such as mergers and acquisitions, investments, joint ventures, special situations investing, debt finance, securitizations, and derivative contracts; restructurings; tax and ERISA matters; and litigation. We advise private equity, hedge, venture capital and real estate funds on virtually every type of asset class and investment strategy. Our leading public alternative funds practice encompasses U.S. registered mutual funds, interval alts, ETFs, closed-end funds, and business development companies employing alternative investment strategies.
For more information, please visit kramerlevin.com.
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
-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
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, transactional, litigation, regulatory, restructuring, employment and benefits, and intellectual property services in all major industries, helping clients address and anticipate challenges across vast and rapidly changing landscapes.
The Morgan Lewis Investment Management Practice is one of the largest and most experienced practices providing a full range of legal services to clients in the financial services industry, both domestically and abroad. With more than 150 lawyers in our hedge fund team, Morgan Lewis has one of the largest international hedge fund practices, representing a wide range of hedge fund managers and institutional investors. Our success is due to the skills, experience, and strong client relationships maintained by our hedge fund lawyers and the insights we glean from working closely with hedge fund managers and investors. In particular, we draw upon our firm’s deep bench of talent in the areas of fund formation, tax, regulatory, futures and derivatives, lending, corporate and securities law.
Our hedge fund lawyers are familiar with the legal issues facing hedge funds, their managers and investors and are located throughout the United States, Europe and Asia. We represent all types of domestic and off-shore hedge funds, across a broad range of investment and financing strategies, including customized and captive funds, crossover funds, hybrid hedge/private equity funds and funds of funds, as well as many of the largest and most active institutional investors.
Proskauer’s global Hedge Funds Group has broad experience in advising hedge fund managers, funds of funds and other institutional as well as individual investors 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 and other corporate transactions. The group is part of our larger, globally renowned Private Investment Funds Group, which comprises more than 100 lawyers worldwide. The Private Investment Funds Group, in turn, has extensive experience across the universe of hedge funds and funds of funds, both U.S. and non-U.S., employing all types of structures and all types of investment strategies.
For more information, please visit proskauer.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.
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 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, structure 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.
For more information, please visit www.sidley.com.
Headquartered in New York, Sullivan & Cromwell LLP (sullcrom.com) provides the highest-quality legal advice and representation to clients around the world. The results the firm achieves have set it apart for more than 135 years and have become a model for the modern practice of law. Today, S&C is a leader in each of its core practice areas and geographic markets. S&C’s success is the result of the quality of its lawyers: the most broadly and deeply trained collection of lawyers in the world.
S&C is the leading global law firm on M&A, finance and capital raising, complex regulatory issues, corporate governance, legislative developments, significant litigation and enforcement matters, corporate investigations and tax matters affecting financial institutions. Its expertise extends to clients in the alternative investment management, investment management, banking, payments, broker-dealer, commodities, futures and derivatives, insurance and consumer finance sectors. The firm provides clients with the experience, knowledge, dedication and service needed to ensure their strategic business objectives.
ACA Compliance Group (“ACA”) is a leading provider of governance, risk, and compliance advisory services and technology solutions. We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks.
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.
For more information, please visit www.akingump.com.
aosphere LLP is an affiliate of international legal practice Allen & Overy LLP. The aosphere team specialises in online legal services which help clients manage the law and regulation applicable to a wide range of activities. Legal and compliance professionals use aosphere to help with:
- Cross-border marketing of funds and investment management services
- Major shareholding disclosures (including aggregation for discretionary and non-discretionary managers)
- Disclosures regarding short selling, takeovers and sensitive industries
- Cross-border data transfers
- Analysis of industry standard derivatives documentation, e.g. ISDA netting and collateral opinions
- Margin, clearing and reporting of derivatives transactions to comply with G20 related initiatives
Visit www.aosphere.com for further information.
Founded by seven lawyers in 1946, Cleary Gottlieb has grown to over 1,300 lawyers from more than 50 countries, working across practices, industries, jurisdictions, and continents to provide clients with simple, actionable approaches to their most complex legal and business challenges. We support every client relationship with integrity, intellectual rigor, and commercial acumen. We have a proven track record for serving with innovation. We are fluent in the many languages of local and global business. And we have achieved consistent success and maintained first-class quality in multiple jurisdictions. Global corporations, financial institutions, sovereign governments, local businesses, and individuals turn to us for consistently excellent and forward-looking advice.
Davis Polk is an elite global law firm with world-class practices across the board. Our leading Investment Management Group has in-depth experience advising some of the largest and most innovative hedge fund managers from around the world on the formation, operation and regulation of private and public funds. We are consistently at the forefront in creating innovative fund structures, and our highly experienced regulatory practice uses its strong ties with regulators to address managers’ most difficult regulatory challenges.
Dechert is a leading international law firm with approximately 1,000 lawyers in 26 offices. Around 200 lawyers are dedicated to funds and financial services. This leading practice group has expertise across all major asset classes, fund domiciles and structures and provides expertise at every stage of the investment lifecycle.
We are the only law firm with a funds practice that spans the key European investment fund centers – Dublin, Frankfurt, London, Luxembourg, Munich and Paris – as well as throughout the U.S., the Middle East and Asia. As a result, our lawyers are in a unique position to give jurisdictional-neutral and unbiased advice about the right structures for raising and deploying capital in the United States, Europe and beyond, with strong attention to tax efficiency and market terms.
For more information, please visit www.dechert.com
Friedman Kaplan is a boutique law firm headquartered in New York City. Founded in 1986, the firm has built a reputation for excellence in complex, cutting-edge, and high-stakes litigation, as well as in transactions, employment matters and white-collar criminal defense matters.
The firm advises investment funds and service providers in a wide variety of litigation, regulatory, investigatory and transactional matters. It also advises and provides training to hedge funds on various legal and compliance issues.
Friedman Kaplan’s LIBOR Transition Task Force is helping clients prepare for the expected cessation of LIBOR, including bringing or defending against transition-related claims, where necessary.
Haynes and Boone, LLP is an international corporate law firm with offices in Texas, New York, California, Charlotte, Chicago, Denver, Washington, D.C., London, Mexico City and Shanghai, providing a full spectrum of legal services in energy, technology, financial services and private equity. With more than 575 lawyers, Haynes and Boone is ranked among the largest U.S.-based firms by The National Law Journal, The American Lawyer and The Lawyer. It also ranks among the nation’s most recommended law firms by general counsel, according to BTI Consulting Group’s “Most Recommended Law Firms 2019” report.
Haynes and Boone’s Investment Management Practice Group is well-equipped to handle the needs of any investment manager, private fund, family office and investor, including formations, registrations, on-going operations, investments, investigations and enforcement matters. We have extensive experience representing such clients in various industries including, but not limited to, hedge funds, private equity, real estate, venture capital, oil and gas, and infrastructure. We take pride in being able to provide our clients with current market and practical business advice, and value being their trusted counselor.
Katten Muchin Rosenman LLP is a top-tier law firm with more than 600 attorneys in the United States, London and Shanghai. With one of the largest groups of dedicated financial services attorneys in the country, Katten’s clients benefit from the firm’s unmatched experience in the fields of investment management, securities and futures regulation, structured products, and exchange-traded and over-the-counter derivatives. We frequently advise banks and brokerage firms, insurance companies, domestic and foreign exchanges, clearing organizations, swap execution facilities, domestic and offshore investment funds and their managers, commodity pools and commodity pool operators, investment advisers and commodity trading advisors, and proprietary trading firms. Our experience working for many regulatory agencies offers our clients unparalleled counsel across the globe. www.katten.com
Kessler Topaz Meltzer & Check, LLP is one of the world’s foremost advocates in protecting the public against corporate fraud and other wrongdoing. Our lawyers regularly take on the foremost defense attorneys—and win—in class actions, shareholder derivative suits, antitrust litigation and other complex litigation around the globe. We are proud to have recovered billions of dollars for our clients. Clients—including sophisticated institutional investors, consumers, employees, whistleblowers, governments, pension funds and sovereign wealth funds—choose Kessler Topaz for our fierce dedication, successful track record and innovative approach to litigation. We have been a proven leader in implementing high-impact corporate governance reforms to protect shareholder rights, improve value and prevent corporate mismanagement, as well as leading pioneers in areas including international shareholder litigation, fiduciary breaches and the development of our online portfolio tracking tools. Kessler Topaz’s proprietary database system named “SecuritiesTracker” was first introduced in 2003 and has since evolved into the most advanced and comprehensive portfolio monitoring and claims filing service available. We are uniquely situated with the skill, resources, experience, and expertise to guide and assist institutional investors with the identification, evaluation and management of securities class and direct actions and claims around the world. Institutional investors have come to rely on our one-stop program to fulfill all of their fiduciary obligations related to protecting shareholder recoveries. For the past several years, the National Law Journal has recognized Kessler Topaz as one of the top securities class action law firms in the country.
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, 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 and enforcement, data, and business restructuring. For more information, please visit ropesgray.com.
Seward & Kissel LLP has been recognized since 1949 for having one of the leading investment management practices in the country, with the establishment of what is considered to be the very first hedge fund, A.W. Jones & Company. We draw on our extensive experience and industry contacts to help our clients achieve practical business solutions within a complex legal and regulatory framework. Our attorneys are particularly active in advising 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. We provide our clients with full service guidance on tax, ERISA, litigation, employment, trademark, bankruptcy, trusts & estates, corporate finance, capital markets, derivatives, commodities, business transactions and real estate matters.
Seward & Kissel’s investment management practice features a full-scale regulatory and compliance offering through Seward & Kissel Regulatory Compliance (SKRC). SKRC offers a broad range of compliance services to investment advisers with a practical, tailored approach to each compliance engagement that leverages the Firm’s extensive legal, governmental and regulatory experience.
With over 12,000 employees in more than 40 countries, Societe Generale Corporate & Investment Banking is present in all major markets and is built on the overriding principles of client service over the long term and sound risk management. Supporting its clients across sectors, we tailor solutions for clients by capitalizing on our worldwide expertise in investment banking, global finance, and global markets. For issuers, we provide a global advisory approach and capital-raising solutions. For investors, we offer investment opportunities and risk management.
For more information visit www.societegenerale.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. For more information, please visit www.wilmerhale.com.
Get the Fresh Lowdown on Alternative-Investment Activities
Every week, Hedge Fund Alert delivers the early intelligence you need to anticipate money-making openings in the fund-management arena. The newsletter tells you what tight-lipped fund managers don’t want you to know. It also uncovers the secret moves of investors and other industry players. See for yourself — sign up for a 3-week FREE trial subscription to Hedge Fund Alert. Start your free trial at HFAlert.com, or call 201-659-1700.