Duffy & Staab represents private investment funds and advisors in all aspects of their activities. Our attorneys typically support:
• Hedge funds
• Private equity funds
• Venture capital funds
Duffy & Staab also represents the entities and individuals who make investments into those funds—ranging from smaller funds to multibillion-dollar high-profile private funds. In addition to helping investors, we also assist in organizing and structuring the fund to deploying the fund’s capital, we have provided counsel related to:
• Private Equity Funds
• Hedge Funds
• Regulatory Compliance, Audits and Investigations
Our proficiencies cover all related strategic issues that affect investment fund participants and transactions. This includes corporate compliance investigations defense, SEC enforcement and private hedge fund and private equity matters.
Risk management is a standpoint that permeates our hedge fund and private equity counsel. Our work establishing and counseling Investment Advisors in a range of alternative investment vehicles is extensive for a firm of our size.
Regulatory Compliance, Audits and Investigations
Investment funds operate in a complex regulatory environment and our approach seeks to ensure compliance while protecting clients’ interests. With new regulations constantly emerging and an atmosphere of increased scrutiny, we are well positioned to provide continuing advice in this complicated area of the law. Our range of knowledge and experience includes:
• Investment Company and Investment Advisers Acts of 1940
• Securities Act of 1933
• Securities Exchange Act of 1934
• Internal Revenue Code
• ERISA requirements
Investment Advisers Act—Exemption and Registration.
We represent a number of investment advisors, both unregistered and registered, under the Investment Advisers Act of 1940. Whether our investment advisor clients work in hedge funds, private equity funds or with individual investors, we assist in determining if an exemption from registration exists or, alternatively, we ably guide clients through the registration process and the continued compliance that needs to be done to keep in good stead with state and Federal regulators.