Our global advisory team provides regulatory, global distribution, and investment management advice to startup and established fund sponsors across the entire private fund lifecycle, including fund formation, regulatory compliance, government enforcement, global distribution, trading, and the ongoing operations of funds and their sponsors. We work side by side with our fund formation and deal teams to address specific regulatory issues, including:
Regulatory compliance
We help fund sponsors understand and satisfy filing, registration, and compliance obligations in U.S. and non-U.S. jurisdictions. In addition to standard regulatory compliance matters for U.S. investment advisers and broker-dealers, we consult on deals that involve the acquisition of globally regulated financial services companies, and how best to structure transactions in light of applicable regulations. We are often called on to help clients navigate the conflicts of interest faced by diversified, global financial services organizations and introduced by multi-party deal structures.
Global Distribution
Our knowledge of U.S. and foreign rules regarding marketing and advertising by fund sponsors and placement agents is unparalleled. Fund sponsors regularly seek our assistance when assessing whether and how to market the performance of funds and their managers, including performance of investment professionals at prior firms. We also have significant experience providing comprehensive advice on overlapping marketing rules (private offerings, RIA advertising, BD sales, and non-U.S. regulations), an area of frequent frustration for fund managers.
Management and Operations
Drawing on decades of experience representing diverse investment managers, we provide practical, actionable advice to fund sponsors on management issues that arise outside the fundraising and deal making process. We have a deep understanding of trading and execution, derivatives, performance reporting, portfolio manager liftouts, and nearly every issue that can arise in the entire lifecycle of a private fund manager.
The Australian Government announced on 21 July 2020 that the JobKeeper scheme will be extended for six months beyond the original end date of 28 September 2020.
Representative Peter DeFazio (D-OR), chairman of the U.S. House Transportation and Infrastructure Committee, recently introduced the Maritime Transportation System Emergency Relief Act (Maritime Relief Act).
The COVID-19 Retail and Commercial Leasing Matrix (Matrix) provides landlords and tenants with an overview of the COVID-19 response measures which have been enacted in each Australian State and Territory following the release of the National Cabinet's Mandatory Code of Conduct: SME Commercial Leasing Principles During COVID-19 on 7 April 2020.
We welcome your email, but please understand that if you are not already a client of K&L Gates LLP, we cannot represent you until we confirm that doing so would not create a conflict of interest and is otherwise consistent with the policies of our firm. Accordingly, please do not include any confidential information until we verify that the firm is in a position to represent you and our engagement is confirmed in a letter. Prior to that time, there is no assurance that information you send us will be maintained as confidential. Thank you for your consideration.
