Investment Company Practice
Our team of lawyers includes former securities regulators and FINRA arbitrators, offering our clients practical experience on staying compliant and investing in both public and private funds.
QPWB’s lawyers have experience representing a range of onshore and offshore (master-feeder) private investment funds, including hedge funds, credit/distressed credit funds, private equity funds, real estate funds, and venture capital funds. We advise our clients on various aspects of fund organization, including registration exemptions and regulatory interpretations, fee and compensation structures, and local and international compliance. We also counsel our clients on dealing with investor claims and regulatory investigations and enforcement actions.
Registered Investment Companies
As funds are sponsored and advised by independent investment advisers, banks, insurance companies, and broker-dealers, we counsel both funds and their asset managers or distributors. Members of our team have prepared, reviewed, and/or filed semiannual reports, quarterly disclosure reports and proxy materials. We have prepared and reviewed board materials, compliance procedures, and reports to shareholders, and counseled boards of trustees/directors, fund managers, and distributors on various Investment Company Act issues. Our lawyers have represented management before the SEC, FINRA, and other regulatory entities on requests for no action or exemptive relief, and respond to compliance examinations, investigations, and enforcement proceedings.