Practice Areas & Industries: Greenberg Traurig, LLP


Investment Regulation Group Return to Practice Areas & Industries

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Practice/Industry Group Overview

Greenberg Traurig provides advice on all aspects of investment regulation and compliance. Our clients include broker-dealers, investment advisers, private funds, registered investment companies and their independent boards, proprietary trading firms, commodities trading advisors, commodity pool operators, futures commission merchants, major swap participants, structured product sponsors, and financial institutions. Our team members include former SEC staff, a former CFTC attorney, and a former Deputy Director of Legal Affairs for the Dutch Financial Markets Authority. Our team members practice throughout the Americas, Europe, and Asia, and often take leading roles in shaping industry trends and benefitting clients in the investment management community. We provide fully-integrated legal counsel, including advice on securities regulatory matters, private and registered fund formation and offerings, domestic and international tax, REITs, ERISA, white collar criminal defense, structured finance and derivatives, corporate and securities, and financial services litigation.

Capabilities and Experience

  • Preparing international, federal and state licenses, registrations and reports for those supervised by regulators such as the SEC, FINRA, CFTC/NFA, FSOC and state securities authorities
  • Developing compliance programs and assisting boards and CCOs with ongoing compliance matters, annual reviews, and internal investigations
  • Preparing for regulatory audits to identify compliance risks and advising clients on policies and procedures to address those risks
  • Drafting or negotiating agreements, including advisory agreements, prime brokerage/margin agreements, OTC derivatives, futures and commodities contracts
  • Reviewing marketing practices, including materials, websites and performance advertising
  • Forming both domestic and offshore investment funds (including registered mutual funds and private investment funds, as well as real estate funds)
  • Advising independent boards of public funds on corporate governance
  • Obtaining no-action and exemptive relief from U.S. regulators
  • Preparing SEC reports, including Form ADV, Form PF, Schedules 13D, 13G and 13F and Section 16 Forms 3,4 and 5
  • Counseling on personnel issues including partnership, employment, consulting, confidentiality and compensation agreements
  • Advising clients on the JOBS Act, the Dodd-Frank Act and regulations thereunder
  • Representing clients in connection with DOJ, SEC, FINRA, CFTC/NFA and state regulatory exams, investigations and enforcement actions
  • Advising on the regulatory aspects of capital raising and sale transactions, as well as sales and trading activities

Greenberg Traurig’s Investment Regulation Group works across practice lines and office locations to provide seamless, sophisticated counsel to companies and individuals. The Group works in cooperation with our colleagues in related practice groups such as Tax, Labor and ERISA and others to assure that our clients are advised thoroughly about both regulatory obligations and exemptions from regulation.