Investment Management

Our Investment Management Practice Group provides assistance with the formation and on-going operation of investment funds engaging in a broad spectrum of investment activities from general investment in listed stocks to targeted acquisitions in a wide variety of industries, including in technology, digital assets, energy, real property, venture, businesses or investments. We keep up to date on the latest legal and market developments and work collaboratively with other practice areas to help clients anticipate emerging issues and implement strategies. We represent both domestic and offshore investment vehicles and serve as lead outside counsel to numerous investment funds who combined have tens of billions of dollars in assets under management. Our London team has unparalleled experience acting as cross-border counsel to UK and European fund managers who want to access capital across the globe. Our representation of investment fund clients is both innovative and efficient.

Multi-Disciplinary Approach

Our Investment Management Practice Group has assembled a team of lawyers and legal professionals with diverse, but complementary, experience, so that we can provide assistance in all matters affecting our investment fund clients and their businesses. Our lawyers have knowledge in corporate-securities, partnership, tax, ERISA, international, venture capital, real estate, employment, finance, blockchain, cryptocurrency and litigation issues that affect all types of investment funds. This multi-disciplinary approach affords our clients efficient access to various other practice area lawyers possessing the depth of experience necessary to address any need they may have, while creating a team of professionals particularly suited to providing the creativity and flexibility necessary to guide those clients through the rapidly evolving legal and regulatory landscape.

Services

Our Investment Management Practice Group provides assistance to investment funds and their sponsors, with respect to all aspects of fund structuring, formation and operations throughout the life of a fund, including the following:

Fund Organization

Preparation of Private Offering Documentation (Hedge, Private Equity, Real Estate, Venture, Blockchain, Crypto, etc.)
Development of Fund Terms and Investment, Distribution, and Valuation Policies
Assistance with Fund Structuring, including Master-Feeder and Parallel Fund Structures to Minimize Taxation on Investors
Structuring Domestic and Offshore Entities, including Limited Partnerships, Limited Liability Companies, and Corporations
Advising on Structuring and Compensation Issues for Fund Sponsors, Managers, and Staff
Tax, ERISA, and Securities Law Considerations
Specialized Investor Concerns
Investor Negotiations and Relations
Fundraising, Marketing, and Investment Considerations

Fund Management and Regulatory Compliance

Formation and SEC or State Registration of Investment Manager Entities
Advising on General Securities Law Matters
Advising on Enforcement Priorities
Assisting with Preparing Policies and Manuals for Securities and Crypto Managers
Advising on CFTC and SEC regulations (including with respect to Virtual Currencies)
Advising on Current Rulemaking Initiatives
Preparation and Filing of SEC, CFTC and State Securities Forms
Advising on Investment Company Act of 1940 issues
Advising on Investment Advisers Act of 1940 issues
Establishment of Privacy Policies
Formation of Advisory Committees
Securities and Commodities Law Analysis of Virtual Currencies, NFTs and Digital Assets

Investment Management

Preparation of Investment Management and Deferred Fee Agreements
Early Stage Portfolio Company Development
Review of Securities Offering and Proxy Materials of Portfolio Companies
Preparation and Filing of Forms 13D/G
Compliance with Section 16
Compliance with Antitrust Laws
Assistance with Proxy Solicitations and Attendance at Shareholder Meetings of Portfolio Companies
Review of Derivative Instruments and Other Hedging Instruments
Tax Strategies for Portfolio Investments (including Tax Consequences for Digital Assets and related IRS Guidance)

Fund Investment

Review of Target Company Offering Materials
Negotiation of Organizational Documents and Side Letter Agreements

London Investment Management Capabilities

Structuring and Establishment of Onshore and Offshore Investment Funds
Strategic Legal and Commercial Counsel across Multiple Jurisdictions, including the Cayman Islands, Ireland, Luxembourg, Channel Islands, UK, the U.S. and others
Advising on Restructurings, Derivatives, Liquidation, and Regulatory Law including AIFMD, Navigating FCA Authorization, and Fund Financing
Experience in Alternative Investment Funds, advising the Full Spectrum of Fund Managers, Family Offices, Sovereigns, and Entrepreneurs
Advising on Strategies Spanning Credit, ESG, Event Driven, Special Situations, Global Macro, Greentech, Cannabis, Crypto, Emerging Markets, Long/Short Equity, Quantitative, Multi-strategy, Fund of Funds, Commodities, and Real Estate

Primary Contacts

Newsletter

The Investment Management Group of Haynes Boone is excited to provide you with a brief summary of newsworthy items and important legal developments for investment managers, investment funds, and broker-dealers to assist with their approach to private fund formation, registered investment company formation, regulatory compliance, operational and other issues.

Read our latest edition and previous ones

New SEC Rules

New SEC rules mean investment advisers will face complexities and challenges in the coming months. Haynes Boone Investment Management Global Chair Vicki Odette sits down with Partners Madelyn Calabrese, Evan Hall, and Kurt Gottschall to parse through the impact of the new regulations.

Watch the video here