Investment Advisors

  • Formation
  • ADVs (Part 1 and 2)
  • Employment matters
  • Vendor matters
  • Leases
  • Conflicts of interest
  • Form PF filings
  • 13F filings
  • Investment advisor representative agreements
  • Managed account agreements
  • Administrator agreements
  • Prime broker agreements
 

Corporate Transactions

  • Mergers & Acquisitions
  • Asset Deals
  • Company Restructuring
  • Due Diligence
  • Loan Restructuring
  • Stock Purchase Agreements
  • Note Purchase Agreements
  • Offer Letters
  • Letters of Intent
  • Term Sheets
  • Standstill Agreements
  • Opinions
 

Corporate Governance

  • Articles
  • Bylaws
  • Minutes
  • Resolutions
  • Proxy Fights
  • Fiduciary Duty Matters
 

Compliance

  • Compliance Manuals
  • Compliance Programs
  • Compliance Audits (i.e. Mock Audits)
  • Compliance Testing
  • Codes of Ethics
  • Business Continuity Plans
  • Regulatory Investigations
  • AML/KYC
  • Annual Compliance Meetings
  • Compliance Calendars
  • Advertising and Marketing Reviews
  • Best Execution Reviews
  • DDQs
  • Regulatory Updates
    • Investment Advisers Act of 1940
    • Investment Company Act of 1940
    • Dodd-Frank Act
    • Bank Secrecy Act
    • Fed Rules
    • OCC Rules

Venture Capital

  • Formation
  • Operating Agreements
  • Member Agreements
  • Corporate Matters
  • Business Plans
  • Presentations
  • Employment Matters
  • Vendor Matters
  • Leases
 

Hedge Funds

  • Formation
  • Partnership Agreements
  • 13D Filings
  • Section 16 Filings
  • Redemptions
  • Valuations
  • Administration
  • Wind Downs
 

Contracts

  • Employment Contracts
  • Consulting Contracts
  • Confidentiality Agreements
  • Settlement Agreements
  • Releases
  • Engagement Letters
  • Termination Agreements
  • Non-competition Agreements
  • Non-circumvention Agreements
  • License Agreements
  • Indemnification Agreements
  • Contribution Agreements
  • Assignment Agreements
  • Disclaimers
 

Compensation and Benefits

  • Option Plans
  • Performance Plans
  • Bonus Plans

 

Volcker Rule

  • Covered Funds Analyses
  • Proprietary Trading Analyses

 

Litigation Consulting

  • Expert Reports
  • Discovery Requests
  • Due Diligence
  • Deposition Testimony
  • Trial Testimony
  • Forbearance Agreements
  • Default Letters
  • Joinder Agreements
  • Affidavits