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    Finance (Fund Formation)

 

  • Serves as the main point person for consultation on fund formation legal matters throughout all stages for fundraising for private equity, real estate, infrastructure and other fund products.

 

  • Experience in the formation and operation of private funds, such as distressed company, funds-of-funds, hedge, leveraged buyout, mezzanine debt, private equity, real estate, venture capital.

 

  • Experience with limited partnerships, limited liability companies and joint ventures, mergers and acquisitions.

 

  • Compliance with the Investment Advisors Act (IAA) and Investment Company Act (ICA).

 

  • Consultation and interpretive guidance on investigations and proposed enforcement actions, particularly with respect to issues under the IAA and ICA.

 

  • Coordinates with outside counsel and business units on legal matters relating to capital formation, fund-related issues with respect to investments and fundraising.

 

  • Consultation for general partners and limited partners through the entire fund formation process.

 

  • Participates in structuring new products and other related product development initiatives.

 

  • Assists in updating and revising of the offering materials for various investment vehicles.

 

  • Consultation for investment and business groups regarding structuring new investments, fund complexes and separate accounts to address legal, regulatory and tax concerns.

 

  • Prepares offering documents, including private placement memoranda.

 

  • Preparation and negotiation of limited partnership agreements, placement agent agreements, side letters, subscription agreements and ancillary documents (e.g., management agreements, guaranties) for commingled funds.

 

  • Preparation and negotiation of investment management agreements and investment guidelines for separate accounts.

 

  • Reviews marketing and client reporting materials in coordination with guidelines established by the compliance department, including RFPs, webcasts, brochures and one-off requests

 

  • Coordinates with management and other managers regarding operational implications of governing documents.

 

  • Negotiation of third-party trading agreements, such as prime brokerage agreements, ISDAs, fund credit facilities.

 

  • Assistance for qualifying funds to trade in non-U.S. jurisdictions

 

  • Negotiation and facilitation of participant-directed transactions for separate accounts

 

  • Monitors and addresses regulatory compliance developments on a global basis, as relevant.

 

  • Consultation for investment teams regarding insider-trading concerns, establishing and maintaining information walls.

 

  • Investigates and reports to management regarding potential conflicts of interest

 

  • Provides litigation support at the fund level

 

  • Responds to inquiries from CFTC, DOL and SEC regulators regarding reporting issues.

 

  • Consultation for cross-functional initiatives to implement new corporate procedures.

 

  • Consultation on investment-specific regulations, including structuring issues, initial and periodic filings, assisting with the design and implementation of compliance controls and interacting with regulators.

 

  • Reviews and advises on press releases and other media-related matters

 

  • Provides transaction support, such as assisting with transaction structuring, compliance with the Hart-Scott-Rodino Antitrust Improvements Act (HSRAIA) and other regulatory filings, negotiating fund guarantees and restructurings, preparing SEC Sections 13 and 16 filings, reviewing deal documentation, term sheets and other transaction documents, and support for deal-related trade support and compliance issues.

 

  • Corporate governance for boards of directors of various corporate and fund-related entities.

 

  • Conducts annual review of fund compliance with certain regulatory requirements, such as for venture capital operating companies (VCOCs) and the FINRA new issues rule.

 

  • Prepares amendments to fund documents and supervises consent solicitations.

 

  • Assists in addressing legal questions received from current fund investors.

 

  • Oversees the confidentiality review process.

 

  • Experience with emerging growth companies (such as blockchain, cybersecurity, digital health, enterprise, fintech, gaming, software) pursuant to the Jumpstart Our Business Startups (JOBS) Act, at all stages of their lifecycle (including start-ups, business formation, incorporation, early and late-stage venture financings, other financing transactions, mergers and acquisitions, private and public offerings) as well as the funds that invest in such companies.

 

  • Drafting Securities and Exchange Commission (SEC) reports and mergers and acquisitions (M&A) transaction documents for complex public and private transactions.

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    Last updated 200514_2025

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