Please forward this error screen to sharedip-10718050174. Tax Reform and Investment Management: Investment management associates miami the Foreign-Derived Intangible Income Provision Benefit U. A, Six New Practice Rankings in 2017 The Legal 500 U.
IM specialties, and other developments of the Investment Management Practice over the course of 2016. L Gates also works closely with public agencies in a variety of capacities and, as a result, we have a heightened sensitivity to the issues that concern government-related clients and others with significant fiduciary obligations that may be specified by state or local statutes. Our Securities Enforcement lawyers have extensive experience with SEC examinations of investment advisers, broker-dealers, and investment vehicles of all kinds, as well as administrative proceedings and litigation involving funds and other managed investment products and their principal service providers. SEC or other regulators, trade groups, or in-house positions, and our lawyers have good working relationships with senior regulatory officials and key industry leaders. We regularly serve as outside counsel to industry associations on a variety of projects, including legislative and policy matters, and are actively involved in industry developments.
Broker-dealer clients constitute a significant component of our investment management practice. Our clients come from every segment of the broker-dealer industry, including full-service broker-dealers and brokerage affiliates of investment advisers, banks and insurance companies. Registration under federal and state securities laws and, in the U. Financial promotion issues in the U. Obtaining ERISA exemptive relief from the U. We regularly help our clients organize and register with the SEC and FSA, apply for SRO membership, prepare for pre-membership examinations, draft supervisory procedures, create compliance manuals, establish insider trading and related policies and procedures, review and modify broker-dealer training programs and materials, conduct compliance audits, and handle enforcement investigations and proceedings as well as arbitration and civil and criminal litigation.
We advise transfer agent companies, including newly organized transfer agents. United States on how to avoid registration as a broker-dealer or clearing agency. We advise investment management clients regarding their relationships with independent transfer agents, custodians, and other service providers. This includes negotiating service agreements, negotiating and documenting changes in service providers, and resolving regulatory and other issues.
Our attorneys have extensive experience with the regulatory and legal issues affecting institutional and private advisory accounts, including pension plan accounts, hedge funds, other private investment funds, and offshore funds. Ongoing compliance with ERISA, the U. We additionally assist clients in their dealings with regulators, including applying for exemptions and no-action relief as well as preparing for and responding to regulatory examinations and enforcement investigations and proceedings. L Gates’ alternative investment management practice represents institutional clients, including government agencies, pension funds, universities, and endowments, as well as high net-worth individuals, in evaluating, negotiating, and structuring alternative investments. In our alternative investment management practice, we have unique experience in unusual private equity transactions, including formation of proprietary funds and funds-of-funds, strategic investments in management entities, and the start-up of fund managers.