Buchalter’s Fund Formation/Investment Management Practice is one of the strongest practices on the West Coast. Our attorneys have substantial experience organizing and advising hedge funds, private equity funds, venture capital funds, real estate funds, debt funds, funds of funds, and other private investment vehicles, raising funds worldwide that range from less than $20 million to over $10 billion. We advise on the broad spectrum of legal, tax and compliance issues facing funds and advisers, including federal and state securities laws and regulations, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act (ERISA). A significant portion of our practice involves international funds and cross-border transactions.
Our range of experience includes:
- Investment adviser registration
- Fund formation, structuring and regulatory requirements; private placement exemptions
- Fund marketing and advertising
- Employee ownership, compensation, and incentive arrangements
- Retail and institutional advisory client relationships
- Implementation and documentation of compliance policies and procedures
- Client agreements, disclosures, fee arrangements, and solicitors agreements
- Recordkeeping and custody
- Reporting requirements (Schedules 13D and 13G, Section 16, Form 13F)
- ERISA provisions
- Brokerage, new issue allocations and soft dollar arrangements
- Partnership and limited liability company counsel
- Insider trading procedures and codes of ethics
- SEC inspections
- Venture capital financing
- Offshore funds, master feeder and side-by-side funds
- Anti-money laundering programs
- Tax treatment and accounting concerns
For investment management and investment fund clients, our legal counsel in global financial markets encompasses a variety of securities, commodity futures, synthetic securities, forward and swap contracts, options, warrants, and other derivative securities.
