Katten Muchin Rosenman Cornish LLP’s Financial Services Practice advises a broad spectrum of domestic and international fund managers, trading advisors, banks, brokerages and proprietary trading firms in all aspects of exchange-traded and over-the-counter commodities, securities and derivatives transactions. We help clients find business-based solutions and make business-driven decisions that are in compliance with applicable regulatory requirements. Our lawyers have extensive experience in the financial markets and are fully attuned to the need to provide advice quickly and efficiently in light of the time-sensitive and market-driven nature of the issues our clients face on a daily basis.
Futures and Derivatives
We are one of the few law firms with significant experience in this complex area of law. Members of the Financial Services Practice provide advice on all aspects of futures and derivatives legal and regulatory compliance, including trade practices, registration, recordkeeping and reporting, anti-money laundering, capital requirements, margin and supervision. We also represent clients in connection with investigations and enforcement actions.
Investment Management
The Financial Services Practice provides advice with respect to the organisation and day-to-day operation of a range of investment funds (including parallel and master-feeder structures and funds of funds) and fund managers. Our lawyers are especially well versed in the practical as well as the technical and regulatory aspects of organising and operating fund vehicles and structuring investment managers to minimise regulatory capital and other requirements. We are involved in the structuring of investment funds with a broad range of investment strategies, including hedging, arbitrage, long/short, private equity, distressed and emerging market investments. Our lawyers are also highly experienced in the structuring and acquisition of, and exit strategies from, fund portfolio investments (by private sale or public offering).
Banks and Broker-Dealers
We provide comprehensive legal services to a diverse group of clients that includes banks, broker-dealers, online brokerage firms, proprietary trading groups and many others. Our lawyers provide business-sensitive advice on all aspects of bank and broker-dealer law and regulation, including FSA applications, reporting, trading, research, advertising, capital, margin and supervision. Members of the Financial Services Practice also regularly draft and help implement brokerage agreements, compliance manuals, trading and privacy policies and conflict of interest policies.
OTC Derivatives and Structured Products
We advise financial institutions, derivatives dealers, hedge funds and other asset managers in structuring, negotiating and documenting hedge fund-linked and other structured investments as well as a full range of over-the-counter derivatives. Our lawyers counsel clients with respect to securities, commodities and banking regulatory and compliance matters, and provide ongoing advice concerning the trading, marketing and sales of OTC derivatives and structured products.