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, commodity trading advisers, 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.

Articles Authored by Lawyers at this office:

Iran Nuclear Negotiation Deadline Extended to July 10
Kara M. Bombach,Sandra K. Jorgensen,Renee A. Latour, July 13, 2015
Further to the June 30, 2015 extension of the deadline for a final deal regarding Iran’s nuclear program, on July 7, 2015 the U.N. Security Council (China, France, Russia, the United Kingdom, and the United States) plus Germany, the European Union and Iran agreed to further extend by an...

U.S. and EU Extend Deadline for Deal in Iran Nuclear Talks
Kara M. Bombach,Sandra K. Jorgensen,Renee A. Latour, July 03, 2015
On June 30, 2015, the five permanent members of the U.N. Security Council (China, France, Russia, the United Kingdom, and the United States) plus Germany, the European Union, and Iran agreed to extend by seven days their self-imposed deadline for finalizing a deal regarding Iran’s nuclear...

CFPB Enforcement Action Against Collection Agency and Its Service Providers
Peter L. Cockrell,Brett M. Kitt,Gil Rudolph,J. Scott Sheehan, April 17, 2015
On April 8, the CFPB announced that it had sued a debt collection agency, its individual owners, and its service providers in the United States District Court for the Northern District of Georgia for allegedly violating the Fair Debt Collection Practices Act (FDCPA) and the Consumer Financial...

CFPB Outlines Payday Loan Rule
Peter L. Cockrell,Brett M. Kitt,Gil Rudolph,J. Scott Sheehan, April 17, 2015
The CFPB held a field hearing on payday lending March 26 in Richmond, Va., where it announced the details of the payday loan rule that it is considering proposing. Although the outline of the rule provided by the CFPB is not a formal notice of proposed rulemaking, it is referred to in this Alert as...

Foreign Venture Capital Investments in Sub-Saharan African Technology Startups
Aron J. Ambia, April 07, 2015
A McKinsey report published in February 2014 estimates that mobile phone ownership among adults in Sub-Saharan Africa (SSA) is estimated to be 66 percent. The rapid spread of Internet-enabled mobile phones throughout SSA has created an opportunity for the emergence of tech startups and venture...

U.S. Imposes Additional Targeted Ukraine-related Sanctions
Cyril T. Brennan,Sandra K. Jorgensen,Renee A. Latour, March 19, 2015
On March 11, 2015, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) imposed new Ukraine-related targeted sanctions on several Russian and Ukrainian individuals and entities in response to Russian violations of the ceasefire brokered in February 2015 between the...

Actis Unveils $1.9 Billion Pan-African Renewable Energy Joint Venture
Jillian C. Kirn, March 13, 2015
On Feb. 17, U.K. private equity firm Actis announced a $1.9 billion joint venture with energy developer Mainstream Renewable Power to build a series of wind and solar projects throughout Africa over the next three years. The joint-venture company, named Lekela Power, plans to produce between 700...

Investment Protection in Africa
Ryan P. Kelley, March 13, 2015
The risks and rewards of investing in an African country understandably have a significant influence over exactly where and when foreign investors choose to invest and over evaluations of ongoing investments. The host countries in which foreign investors do invest must similarly consider the risks...

South Africa Gets to Work on its First ‘Smart City’
Alais L. M. Griffin, March 13, 2015
Work is beginning on a R84 billion “smart city” project in Modderfontein, South Africa, just east of Johannesburg. The developer, Chinese investment firm, Shanghai Zendai, plans on developing 1,600 hectares of land into an international commercial hub that it hopes will one day rival...

SEC Announces 2015 Examination Priorities
Richard M. Cutshall,Arthur Don, March 04, 2015
On Jan. 13, 2015, the Office of Compliance Inspections and Examinations released its annual list of examination priorities for 2015. A copy of the examination priorities letter is available here. The examination priorities are a mixture of OCIE’s examination priorities and risk areas first...

New EU Sanctions Target Crimea and Sevastopol
Sanne Mulder,Erik de Bie, February 16, 2015
The European Union (EU) adopted new sanctions Friday, Dec. 19, 2014, relating to the conflict situation in Ukraine. The sanctions specifically target Crimea and Sevastopol. The new measures confirm, once again that the EU does not recognize Russia’s annexation of Crimea and Sevastopol, which...

U.S. Imposes Sweeping Sanctions on Crimea
Kara M. Bombach,Sandra K. Jorgensen,Julia Sorrentino, February 16, 2015
On Dec. 19, 2014, President Obama signed an Executive Order prohibiting most transactions by U.S. persons with respect to the Crimea Region of Ukraine (Crimea) and blocking the property of certain individuals and entities (together, Crimea Sanctions). Additionally, the Office of Foreign Assets...

UC Ventures: How one very large public university system is setting an example. Or is it?
K. Lance Anderson, February 16, 2015
Over the summer, the University of California (UC) System, with President Janet Napolitano at the helm, shifted a fundamental policy common with many university systems. She rescinded the “Guidelines on University-Industry Relations Policy,” in place since 1989, which prohibited the...