Daphne Frydman counsels asset managers, insurance companies, private funds, public funds, including business development companies and exchange traded funds, and other investment vehicles on their operations, structure, governance, raising capital, investments in derivatives, and compliance with securities laws, commodities laws and exchange rules. Her practice focuses on helping her clients raise capital through a broad range of securities, finance and other transactions. She spends a significant amount of time on finance transactions including structured finance, life insurance reserve securitizations, including XXX and AXXX reserve securitization financings, and general corporate finance transactions including senior debt financing, convertible notes and retail notes.
Daphne also advises asset managers, insurance companies, private and public funds, including business development companies, exchange traded funds and other investment vehicles, in their operations, structure, governance, public offerings, private placements and compliance with applicable requirements of the U.S. Securities and Exchange Commission (SEC) exchange rules, the Commodity Futures Trading Commission (CFTC), and the National Futures Association (NFA).
Sutherland represents a series of energy, metal and agricultural ETFs.
Advised Stellus Capital Investment Corporation on bridge financing prior to the completion of its IPO and negotiated a subsequent credit facility to support ongoing operations.
Developed a comprehensive compliance manual addressing SEC, CFTC and NFA rules for investment advisers that are commodity pool operators affiliated with a large insurance company.